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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

TATE THOMAS JONES

Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

SPRINGFIELD, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:b7c6e8c6-dff2-ef53-7598-db6a69c30da7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jul 31, 2000 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 9, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Sep 9, 1994
First registration: Jul 31, 2000
Dual registered: yes, broker-dealer
IAPD individual key: 2518950

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Apr 20, 2018	n/a	yes	SPRINGFIELD, IL	Current employment
WINTRUST INVESTMENTS	Former SEC adviser	Oct 4, 2006	Apr 19, 2018	no	CHATHAM, IL\|PITTSFIELD, IL\|ROODHOUSE, IL\|WINCHESTER, IL\|PAWNEE, IL\|SPRINGFIELD, IL\|SPRINGFIELD, IL\|CHATHAM, IL\|Springfield, IL	Previous registration
BANC ONE SECURITIES CORPORATION	n/a	Jul 31, 2000	Mar 15, 2004	no	SPRINGFIELD, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WINTRUST INVESTMENTS	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Apr 19, 2018	Apr 20, 2018	1	Firm change	RIA to ibd
BANC ONE SECURITIES CORPORATION	WINTRUST INVESTMENTS	Mar 15, 2004	Oct 4, 2006	933	Firm change after gap	Other

Relationships

Registered with (3)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: current employment
Apr 20, 2018 to presentfactForm ADV
→ WINTRUST INVESTMENTSRegistered adviserregistration: previous registration
Oct 4, 2006 to Apr 19, 2018factForm ADV
→ BANC ONE SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Jul 31, 2000 to Mar 15, 2004factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b7c6e8c6-dff2-ef53-7598-db6a69c30da7
First observed: Jul 31, 2000
Last observed: Sep 14, 2026 7 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

TATE THOMAS JONES

Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

SPRINGFIELD, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:b7c6e8c6-dff2-ef53-7598-db6a69c30da7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:48 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Bd affiliated wealth

Apr 20, 2018

n/a

yes

SPRINGFIELD, IL

Current employment

WINTRUST INVESTMENTS

Former SEC adviser

Oct 4, 2006

Apr 19, 2018

Previous registration

BANC ONE SECURITIES CORPORATION

n/a

Jul 31, 2000

Mar 15, 2004

SPRINGFIELD, IL

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

WINTRUST INVESTMENTS

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Apr 19, 2018

Apr 20, 2018

Firm change

RIA to ibd

BANC ONE SECURITIES CORPORATION

WINTRUST INVESTMENTS

Mar 15, 2004

Oct 4, 2006

933

Firm change after gap

Other