Richard Lee Snipes

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	2023-02-08
TX	RA	APPROVED_RES	2017-03-28
IN	RA	APPROVED	2003-02-03

FL RA
APPROVED

Since 2023-02-08
TX RA
APPROVED_RES

Since 2017-03-28
IN RA
APPROVED

Since 2003-02-03

Branch Locations

Sanford, FL • United States

2625 Enterprise Drive, Anderson, IN 46013 • 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
Raymond James & Assoc	Anderson	IN	12/2002	Present

12/2002 → Present

Raymond James & Assoc

Anderson, IN

Previous Registrations

1999-09-16 → 2002-12-20

Keybanc Capital Markets Inc.

Kokomo, IN

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-08-24
S63	Uniform Securities Agent State Law Examination	1992-06-01

S65 Uniform Investment Adviser Law Examination

1992-08-24
S63 Uniform Securities Agent State Law Examination

1992-06-01

Other Names

Richard Snipes
Rick Snipes

View on SEC IAPD