TrueAdvisor
TrueAdvisor
FT
FT

Frederick Thomas

Raymond James Financial Services Advisors, INC
46 Years of Experience
Johnstown, PA
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Frederick Thomas is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Johnstown, PA, with 46 years of industry experience. Frederick is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 508,439 clients with $390B in assets under management.

Raymond James Financial Services Advisors, INC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6724 advisors
Number of Clients
508,439 clients
Average Client Portfolio
$767K average
Assets Under Management
$390.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum annual fee percentage is 2.25% of assets under advisement. Specific fees are negotiable with your financial advisor based on time, complexity, and portfolio size.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1404 Dwight Drive, Johnstown, PA, 15904

Get directions

History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 2022
Denied
Customer Dispute
August 2003
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Frederick owns and operates Copperfall Farms LLC, a small farm, dedicating about 10-20% of his time. He is also an officer of Copperfall Properties Inc., a rental real estate business, and Thomas Financial Associates Inc., a support company.

Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
February 2010 - Present · 16 yrs 8 mos
Raymond James Financial Services, INC.Broker
February 2010 - Present · 16 yrs 8 mos
Previous Registrations
Morgan Stanley Smith BarneyBroker
June 2009 - March 2010 · 9 mos
Morgan Stanley Smith Barney LLC
June 2009 - March 2010 · 9 mos
Citigroup Global Markets INC.
April 2008 - June 2009 · 1 yr 2 mos
Citigroup Global Markets INC.Broker
February 2006 - June 2009 · 3 yrs 4 mos
Legg Mason Wood Walker, IncorporatedBroker
November 1987 - February 2006 · 18 yrs 3 mos
Legg Mason Masten INC.Broker
August 1980 - November 1987 · 7 yrs 3 mos
State Registrations30 states
ALAZCACOCTDCDEFLGAILINKYLAMDMEMINCNJNMNVNYOHPAPRSCSDTXVAWAWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in Johnstown, PA →All financial advisors in Pennsylvania →