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RUSSELL JAMES TOMS
RUSSELL JAMES TOMS N/A
CRD#: 4464873
IA
B
LPL FINANCIAL LLCCRD#: 6413 6804 EAST HILLSBOROUGH AVE
TAMPA, FL 33610
TAMPA, FL 33610
0
Disclosures
22
Years of Experience
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State Registrations
B
Florida 5/18/2022
B
Georgia 5/18/2022
IA
Florida 5/19/2022
SRO Registrations
B
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IA
Registered with this firm since 5/19/2022
B
Registered with this firm since 5/18/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/02/2014 - 05/25/2022 | TAMPA, FL | |
B | 08/26/2014 - 05/18/2022 | TAMPA, FL | |
IA | 07/16/2013 - 08/19/2014 | CLEARWATER, FL | |
B | 06/06/2013 - 08/19/2014 | CLEARWATER, FL | |
IA | 04/25/2005 - 05/29/2013 | WESLEY CHAPEL, FL | |
B | 04/18/2005 - 05/29/2013 | WESLEY CHAPEL, FL | |
IA | 01/16/2002 - 08/09/2004 | ST. PETERSBURG, FL | |
B | 01/15/2002 - 08/09/2004 | ST. LOUIS, MO |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.