Jonathan David Wax

Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2002 → Present
  Raymond James Financial Services, Inc.
  Tampa, FL
• 06/2012 → 12/2022
  Waller & Wax Advisors, Inc.
  Tampa, FL
• 01/2009 → Present
  Raymond James Financial Services Advisors, Inc
  Tampa, FL

Previous Registrations

• 2003-08-28 → 2022-12-31
  Waller & Wax Advisors, Inc.
  Tampa, FL

Other Businesses

(1) Name of Business: Champions for Children Address: 3108 W Azeele St, Tampa, FL, 33609, United States Activity Type: Non profit Position/Title: Board Member, Finance/Investment Committee Member, Committee Member Investment Related: Yes Start Date: 05/02/2024 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Member of the board and the finance committee. Oversight of the finance activities as reported to the board by the head of finance within the organization. (2) Name of Business: Conn Memorial Foundation Inc Address: 1208 S. Albany Avenue, Tampa, FL, 33606, United States Activity Type: Non profit Position/Title: Officer - Treasurer, Board Member, Director Investment Related: Yes Start Date: 08/20/2019 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Serving the board as an advisor for the fiscal year July 2025-June 2026. More description below. (3) Name of Business: Copperhead Charities Address: Valspar Championship - 35111 US Hwy. 19 North, Ste. 302, Palm Harbor, FL, 34684, United States Activity Type: Non profit Position/Title: Board Member, Finance/Investment Committee Member Investment Related: Yes Start Date: 08/31/2020 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Board member of this charity. Help produce and promote the Valspar PGA tournament. My company is a sponsor of the event and we entertain clients during the tournament.\n\nAdded to the Investment Committee in June 2023. I will not have custody of assets nor voting power over how the portfolio is managed. I am providing input for the investment advisor to consider. (4) Name of Business: Jonathan Wax Investments, Inc. Address: 3010 W Azeele St STE 120, Tampa, FL, 33609, United States Activity Type: Support Company - Owner Position/Title: Officer - CEO, Officer - President Investment Related: No Start Date: 11/25/2014 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Owner of company. Company is parent to the primary operating company (Waller & Wax Advisors, Inc.). Company is used to pay my salary, bonus, 401(k) and health insurance. Company exists to ensure I am not considered as operating as a broker/dealer. (5) Name of Business: Jonathan Wax Investments, Inc. Address: 3010 W Azeele St Ste 120, Tampa, FL, 33609-3576, United States Activity Type: Support Company - Owner Position/Title: Officer - Treasurer, Officer - CEO, Officer - President, Officer - Secretary Investment Related: No Start Date: 06/30/2008 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: This is the paent entity of my practice. Underneath is the operating entity, Waller & Wax Advisors, Inc. I am a W2 employee of Jonathan Wax Investments, Inc. (6) Name of Business: Waller & Wax Advisors, Inc. Address: 3010 W Azeele St STE 120, Tampa, FL, 33609, United States Activity Type: Support Company - Owner Position/Title: Officer - Treasurer, Officer - CEO, Officer - President, Officer - Secretary Investment Related: No Start Date: 01/01/2023 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: This is our company name held out to the public. i am the company owner and CEO.

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-09-20
• S63 Uniform Securities Agent State Law Examination
  1996-07-02

Designations

• Certified Financial Planner

Other Names

• Jon Wax