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RIA / WealthAdvisorPersonal Financial Specialistdual registered (broker-dealer)28 years in industry

Thomas Richard Sawyer

Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Oakland Park, FL

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Search this name across graphsid dfx:ria:dee556ca-4e9e-546c-291a-dd71a892ec25

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Jun 10, 1999 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: Nov 6, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Personal Financial Specialist
Exams: S63
First exam: Nov 6, 1997
First registration: Jun 10, 1999
Dual registered: yes, broker-dealer
Other names: THOMAS RICHARD SAWYER|Tom Richard Sawyer
IAPD individual key: 2955348

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	Sep 14, 2023	n/a	yes	Oakland Park, FL	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Apr 28, 2022	May 30, 2023	no	Ft Lauderdale, FL\|Ft Lauderdale, FL\|Ft Lauderdale, FL	Previous registration
INTEGRATED WEALTH CONCEPTS LLC	Independent wealth	Jul 10, 2017	Feb 28, 2022	no	Fort Lauderdale, FL	Previous registration
OSAIC FA, INC.	Former SEC adviser	Dec 16, 2015	May 15, 2017	no	Worcester, MA\|WALTHAM, MA\|Fort Lauderdale, FL	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jul 9, 2004	Dec 16, 2015	no	FT. LAUDERDALE, FL\|FT. LAUDERDALE, FL	Previous registration
GENWORTH FINANCIAL PLANNING CORPORATION	n/a	Jun 10, 1999	Oct 29, 2004	no	FT. LAUDERDALE, FL	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
AMERIPRISE FINANCIAL SERVICES, LLC	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	May 30, 2023	Sep 14, 2023	107	Firm change	Ibd to ibd
INTEGRATED WEALTH CONCEPTS LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Feb 28, 2022	Apr 28, 2022	59	Firm change	RIA to ibd
OSAIC FA, INC.	INTEGRATED WEALTH CONCEPTS LLC	May 15, 2017	Jul 10, 2017	56	Firm change	Other
CETERA INVESTMENT ADVISERS LLC	OSAIC FA, INC.	Dec 16, 2015	Dec 16, 2015	0	Firm change	Other
GENWORTH FINANCIAL PLANNING CORPORATION	CETERA INVESTMENT ADVISERS LLC	Oct 29, 2004	Jul 9, 2004	-112	Firm change after gap	Other

Relationships

Registered with (6)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: current employment
Sep 14, 2023 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Apr 28, 2022 to May 30, 2023factForm ADV
→ INTEGRATED WEALTH CONCEPTS LLCRegistered adviserregistration: previous registration
Jul 10, 2017 to Feb 28, 2022factForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Dec 16, 2015 to May 15, 2017factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Jul 9, 2004 to Dec 16, 2015factForm ADV
→ GENWORTH FINANCIAL PLANNING CORPORATIONRegistered adviserregistration: previous registration
Jun 10, 1999 to Oct 29, 2004factForm ADV

Dated events

Occurred
May 30, 2023
Advisor changed firm
Thomas Richard Sawyer left Ameriprise Financial Services, Llc for Raymond James Financial Services Advisors, Inc (registered 2023-09-14)
Form ADVobserved 5 days ago
Occurred
Feb 28, 2022
Advisor changed firm
Thomas Richard Sawyer left Integrated Wealth Concepts Llc for Ameriprise Financial Services, Llc (registered 2022-04-28)
Form ADVobserved 5 days ago