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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 2013-02-13
  • TX RA
    APPROVED
    Since 2013-02-13

Branch Locations

Sugar Land, TX • United States

5847 San Felipe Street Ste 3900, Houston, TX 77057 • 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 & Associates, Inc. Houston TX 02/2013 Present
Previous Registrations
  • 2005-10-28 → 2013-02-13
    Morgan Keegan & Company, Llc
    Houston, TX
    Houston, TX
  • 1993-07-31 → 2005-10-24
    Sugarland, TX
Other Businesses

1) Name of Business: Blanco Canyon LLC Address: 3427 Onion Creek, Sugar Land , TX, 77479, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 04/05/2019 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 and Sole Shareholder (2) Name of Business: Comancheria Holdings LLC Address: 3427 Onion Creek, Sugar Land, TX, 77479, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 05/22/2012 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Passive investing securities transactions

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-07-29
S63 Uniform Securities Agent State Law Examination 1981-03-26
  • S65 Uniform Investment Adviser Law Examination
    1992-07-29
  • S63 Uniform Securities Agent State Law Examination
    1981-03-26
Other Names
  • John Carl Sudduth

View on SEC IAPD

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