William Tomes has been President - CCO of Total Wealth Planning and Management since January 2013, is a control person of the firm and directly owns 75% or more of it.
Total Wealth Planning and Management, Inc. is a firm with $239M under management, 414 clients and 7 advisers across 7 offices, as of its April 2026 filing.
William Tomes’ longest registration is the current one, 13 years at Total Wealth Planning and Management since 2013. Before joining Total Wealth Planning and Management in 2013, William Tomes was registered through Raymond James Financial Services Advisors, Inc and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
- – present · 13 yearsPonte Vedra, FL · Adviser representative · Firm CRD 166664
- Raymond James Financial Services Advisors, Inc– · 4 yearsPonte Verda Beach, FL · Adviser representative · Firm CRD 149018
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 7 yearsJacksonville, FL · Adviser representative · Firm CRD 7691
Investment adviser representative registrations
William Tomes is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from June 2013; the most recent is Texas, in April 2017.
- FloridaSince 6 June 2013
- PennsylvaniaSince 7 June 2013
- TexasResidentSince 7 April 2017
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 15 June 2012 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 16 May 2012 |
| Series 65 | Uniform Investment Adviser Law Examination | 3 June 1997 |
| Series 63 | Uniform Securities Agent State Law Examination | 3 June 1997 |
| Series 7 | General Securities Representative Examination | 13 May 1997 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 25 November 1992 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- William Richard Tomes
- CRD
- 2300545
- Firm
- Total Wealth Planning and Management · CRD 166664
- Role
- President - CCO
- Office
- Ponte Vedra, FL
- Registration
- Investment adviser registration
- In the industry since
- September 1996
- Disciplinary history
- Not yet shown here · SEC record
Where does William Tomes work?
William Tomes has been President - CCO of Total Wealth Planning and Management, Inc. since January 2013, and is a control person of the firm.
Is William Tomes a financial advisor?
Yes. William Tomes has a current investment-adviser registration in Florida, Pennsylvania and Texas, through Total Wealth Planning and Management since June 2013.
How many years of experience does William Tomes have?
William Tomes has 30 years in the financial industry, since September 1996, across 3 adviser firms.
What exams has William Tomes passed?
William Tomes has passed 6 licensing exams: the Series 6, Series 7, Series 65, Series 63, Series 10 and Series 9. The earliest, the Series 6, was passed in November 1992. FINRA credited William Tomes with the SIE, which began in October 2018.
Where did William Tomes work before Total Wealth Planning and Management?
Before Total Wealth Planning and Management, William Tomes was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated, September 2004 to February 2012.
Where is William Tomes based?
William Tomes’ registered office is in Ponte Vedra, FL.
Is William Tomes registered with FINRA?
No. William Tomes has no current broker registration.
How can I verify William Tomes’ record?
Search CRD 2300545 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes William Tomes’ full registration record.