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Raymond James & Associates, Inc. CRD 705
$501B regulatory AUM 2,231 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
880 Carillon Parkway, St. Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-10-29 |
| CA | RA | APPROVED | 2022-10-28 |
Branch Locations
620 Newport Ctr Dr Suite 900, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank Na | Anaheim | CA | 02/2011 | 10/2022 |
| Wells Fargo Advisors Llc | Anaheim | CA | 04/2013 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Anaheim | CA | 11/2016 | 10/2022 |
| Raymond James & Associates | Newport Beach | CA | 10/2022 | Present |
RENTAL PROPERTY; INV RELATED; ANAHEIM, CA; OWNER; START: 11/4/16; 1 HR/MO; 0 DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-02-01 |
| S63 | Uniform Securities Agent State Law Examination | 2013-06-12 |
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