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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
FL RA APPROVED 2001-11-02
  • TX RA
    APPROVED_RES
    Since 2018-03-19
  • FL RA
    APPROVED
    Since 2001-11-02

Branch Locations

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

1 Town Center Road 10Th Floor, Boca Raton, FL 33486 • 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
OrganizationCityStateFromTo
Raymond James & Assoc., Inc. Boca Raton FL 11/2001 Present
  • 11/2001 → Present
    Raymond James & Assoc., Inc.
    Boca Raton, FL
Other Businesses

(1)Name of Business: Jewish Federation of South Palm Beach Foundation Address: 9901 Donna Klein Blvd, Boca Raton, FL, 33428, United States Activity Type: Non profit Position/Title: Advisory Board Investment Related: Yes Start Date: 08/01/2016 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Chair of Investment Committee (2)Name of Business: Mystic Cove of Jupiter Address: 135 Mystic Lane, Jupiter, FL, 33458, United States Activity Type: Non profit Position/Title: Officer - Treasurer Investment Related: Yes Start Date: 02/16/2022 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Member of BOD of homeowner association

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1988-11-14
  • S63 Uniform Securities Agent State Law Examination
    1988-11-14

View on SEC IAPD

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