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Grace Hom

Raymond James & Associates, Inc.

New York, NY

CRD 6114491

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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
NY RA APPROVED 2025-10-17
TX RA APPROVED 2024-07-25
NJ RA APPROVED 2023-02-28
  • NY RA
    APPROVED
    Since 2025-10-17
  • TX RA
    APPROVED
    Since 2024-07-25
  • NJ RA
    APPROVED
    Since 2023-02-28

Branch Locations

320 Park Avenue Fl 9, New York, NY 10022 • 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
Wells Fargo Advisors, Llc. Flanders NJ 08/2012 11/2016
Wells Fargo Clearing Services, Llc Flanders NJ 11/2016 04/2019
Mass Mutual Life Insurance Company Iselin NJ 04/2019 05/2021
Mml Investors Services Iselin NJ 04/2019 05/2021
Raymond James & Associates, Inc New York NY 06/2021 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-02-25
S63 Uniform Securities Agent State Law Examination 2013-08-02
  • S66 Uniform Combined State Law Examination
    2023-02-25
  • S63 Uniform Securities Agent State Law Examination
    2013-08-02
Other Names
  • Grace Hichez

View on SEC IAPD

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