James Anthony Levy

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

Authority	Category	Status	Date
FL	RA	APPROVED	2021-05-18

FL RA
APPROVED

Since 2021-05-18

Branch Locations

Coral Gables, FL • United States

396 Alhambra Cir, Ste 701, Coral Gables, FL 33134 • 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

Organization	City	State	From	To
Wells Fargo Advisors Llc	Miami	FL	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Miami	FL	11/2016	05/2021
Raymond James Associates	Coral Gables	FL	04/2021	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Miami, FL
11/2016 → 05/2021

Wells Fargo Clearing Services, Llc

Miami, FL
04/2021 → Present

Raymond James Associates

Coral Gables, FL

Previous Registrations

2006-05-26 → 2021-05-21

Wells Fargo Clearing Services, Llc

Miami, FL

Coral Gables, FL
1998-04-01 → 2006-05-26

Banc Of America Investment Services, Inc.

Miami, FL

Miami, FL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-05-28
S63	Uniform Securities Agent State Law Examination	1998-12-03

S66 Uniform Combined State Law Examination

2002-05-28
S63 Uniform Securities Agent State Law Examination

1998-12-03

View on SEC IAPD