Allan David Gottesman

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
TX	RA	APPROVED_RES	2018-06-19
NJ	RA	APPROVED	2006-06-13
FL	RA	APPROVED	2005-04-18

TX RA
APPROVED_RES

Since 2018-06-19
NJ RA
APPROVED

Since 2006-06-13
FL RA
APPROVED

Since 2005-04-18

Branch Locations

Boonton Township, NJ • United States

1950 Ringling Blvd., Suite 401, Sarasota, FL 34236 • 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 & Associates., Inc.	Boonton	NJ	06/2006	12/2022
Raymond James & Associates, Inc.	Sarasota	FL	10/2004	Present

06/2006 → 12/2022

Raymond James & Associates., Inc.

Boonton, NJ
10/2004 → Present

Raymond James & Associates, Inc.

Sarasota, FL

Previous Registrations

2002-06-05 → 2004-11-04

J. B. Hanauer & Co.

Parsippany, NJ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2003-03-17
S63	Uniform Securities Agent State Law Examination	1982-06-25

S65 Uniform Investment Adviser Law Examination

2003-03-17
S63 Uniform Securities Agent State Law Examination

1982-06-25

View on SEC IAPD