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Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
DE RA APPROVED 2019-07-19
  • DE RA
    APPROVED
    Since 2019-07-19

Branch Locations

3411 Silverside Road Baynard Bldg, Suite 105, Concord Plaza, Wilmington, DE 19810 • United States

Bear, DE • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Pnc Investments Llc Pittsburgh PA 11/2008 07/2019
Raymond James & Associates Wilmington DE 07/2019 Present
  • 11/2008 → 07/2019
    Pnc Investments Llc
    Pittsburgh, PA
  • 07/2019 → Present
    Raymond James & Associates
    Wilmington, DE
Previous Registrations
  • 2004-01-01 → 2019-07-31
    Newark, DE
    Wilmington, DE
    Wilmington, DE
    Wilmington, DE
    Wilmington, DE
  • 2003-05-29 → 2004-01-01
    J.J.B. Hilliard, W.L. Lyons, Llc
    Wilmington, DE
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-11-04
  • S66 Uniform Combined State Law Examination
    2002-11-04

View on SEC IAPD

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