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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
FL RA APPROVED 2023-09-01
  • FL RA
    APPROVED
    Since 2023-09-01

Branch Locations

600 Brickell Ave Suite 1875, Miami, FL 33131 • United States

9595 Wilshire Blvd. Suite 801 And 200, Beverly Hills, CA 90212 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Gfi Securities Llc New York NY 07/2012 04/2018
Unemployed New York NY 04/2018 07/2019
Raymond James & Associates, Inc St Petersburg FL 07/2019 Present
  • 07/2012 → 04/2018
    Gfi Securities Llc
    New York, NY
  • 04/2018 → 07/2019
    Unemployed
    New York, NY
  • 07/2019 → Present
    St Petersburg, FL
Other Businesses

(1) Name of Business: Address: 3813 W Swann Ave Unit 2, Tampa, FL, 33609, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 08/31/2026 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: My wife and I are renting out the house we own in Tampa, FL.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-08-22
S63 Uniform Securities Agent State Law Examination 2013-02-11
  • S65 Uniform Investment Adviser Law Examination
    2023-08-22
  • S63 Uniform Securities Agent State Law Examination
    2013-02-11

View on SEC IAPD

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