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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
TX RA APPROVED_RES 2018-03-19
CO RA APPROVED 2015-06-19
FL RA APPROVED 2002-09-19
  • TX RA
    APPROVED_RES
    Since 2018-03-19
  • CO RA
    APPROVED
    Since 2015-06-19
  • FL RA
    APPROVED
    Since 2002-09-19

Branch Locations

1 Town Center Road 10Th Floor, Boca Raton, FL 33486 • United States

Snowmass Village, CO • United States

Disclosures

2 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James & Associates, Inc. Boca Raton FL 05/2002 Present
Raymond James & Associates, Inc. Snowmass Village CO 06/2015 Present
Other Businesses

(1)Name of Business: jjmsllc Address: 598 sandpiper way, boca raton, FL, 33431, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 11/12/2020 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 (2)Name of Business: jjsm LLc Address: 598 Sandpiper Way, Boca Raton, , FL, 33431, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 11/12/2020 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: giving permission to rental company (Alpine Property) to rent a secondary home (3)Name of Business: Silverman, Mickey Address: 598 Sandpiper Way, Boca Raton, FL, 33431, United States Activity Type: Control Person Position/Title: Other (Acting) Investment Related: Yes Start Date: 02/19/2015 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Trustee/Successor Trustee. co- trustee

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1993-12-30
  • S63 Uniform Securities Agent State Law Examination
    1993-12-30

View on SEC IAPD

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