TC
TC

Thomas Cooley

2 Years of Experience
Cornelius, NC
Broker

Thomas Cooley is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Cornelius, NC, with 2 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 508,439 clients with $390B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6484 advisors
IM Fee
Planning only
Assets Under Management
$390.0B

Fee Structure

Hourly Rate:Up to $400/hr
Loading...

Location

7632 Norman Island Drive, Cornelius, NC, 28031

Get directions

History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

Learn about disclosures →
Employment History
Current Registrations
Raymond James Financial Services, INC.Broker
December 2024 - Present · 1 yr 5 mos
Raymond James Financial Services Advisors, INC
December 2024 - Present · 1 yr 5 mos
Previous Registrations
Raymond James & Associates, INC.
September 2023 - December 2024 · 1 yr 3 mos
Raymond James & Associates, INC.Broker
July 2023 - December 2024 · 1 yr 5 mos
State Registrations25 states
ALARAZCACOFLGAILINKYLAMAMDMIMNMSNCNJNYPASCTNTXVAWA
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.