James Frederick Alioto

Current Employers

Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

Authority	Category	Status	Date
WI	RA	APPROVED	2019-09-16

WI RA
APPROVED

Since 2019-09-16

Branch Locations

20800 Swenson Drive Suite 325, Waukesha, WI 53186 • 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
Wells Fargo Advisors Llc	Mequon	WI	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Mequon	WI	11/2016	09/2019
Raymond James & Associates, Inc.	Waukesha	WI	09/2019	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Mequon, WI
11/2016 → 09/2019

Wells Fargo Clearing Services, Llc

Mequon, WI
09/2019 → Present

Raymond James & Associates, Inc.

Waukesha, WI

Previous Registrations

2003-05-05 → 2019-09-18

Wells Fargo Clearing Services, Llc

Waukesha, WI

Milwaukee, WI

Glendale, WI

Waukesha, WI

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-11-22
S63	Uniform Securities Agent State Law Examination	1979-09-13

S65 Uniform Investment Adviser Law Examination

1996-11-22
S63 Uniform Securities Agent State Law Examination

1979-09-13

View on SEC IAPD

Current Employers

Raymond James & Associates, Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

Reviews