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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
NV RA APPROVED 2024-05-20
TX RA APPROVED 2024-05-14
CA RA APPROVED 2024-05-09
  • NV RA
    APPROVED
    Since 2024-05-20
  • TX RA
    APPROVED
    Since 2024-05-14
  • CA RA
    APPROVED
    Since 2024-05-09

Branch Locations

620 Newport Center Drive Suite 1450, Newport Beach, CA 92660 • 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
Morgan Stanley Smith Barney Llc Irvine CA 06/2018 09/2018
Morgan Stanley Smith Barney Llc Long Beach CA 09/2019 11/2019
Mission Viejo High School And Uc San Diego Mission Viejo CA 06/2009 06/2019
Morgan Stanley Private Bank, N.A New York NY 11/2019 05/2024
Morgan Stanley Smith Barney Llc Irvine CA 11/2019 05/2024
Raymond James & Associates Inc. Newport Beach CA 05/2024 Present
Morgan Stanley Private Bank, N.A New York NY 11/2019 Present
  • 06/2018 → 09/2018
    Morgan Stanley Smith Barney Llc
    Irvine, CA
  • 09/2019 → 11/2019
    Morgan Stanley Smith Barney Llc
    Long Beach, CA
  • 06/2009 → 06/2019
    Mission Viejo High School And Uc San Diego
    Mission Viejo, CA
  • 11/2019 → 05/2024
    Morgan Stanley Private Bank, N.A
    New York, NY
  • 11/2019 → 05/2024
    Morgan Stanley Smith Barney Llc
    Irvine, CA
  • 05/2024 → Present
    Newport Beach, CA
  • 11/2019 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-10-25
  • S66 Uniform Combined State Law Examination
    2019-10-25

View on SEC IAPD

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