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Raymond James & Associates, Inc. CRD 705
$501B regulatory AUM 2,231 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
880 Carillon Parkway, St. Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2024-05-07 |
| NY | RA | APPROVED | 2024-05-07 |
Branch Locations
321 Broadway Ave Suite 501, Saratoga Springs, NY 12866 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Detroit | MI | 03/1988 | 07/2023 |
| Raymond James & Associates, Inc. | Saratoga Springs | NY | 07/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-04-30 |
| S63 | Uniform Securities Agent State Law Examination | 2023-11-07 |
| S65 | Uniform Investment Adviser Law Examination | 1995-03-09 |
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