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Raymond James & Associates, Inc. CRD 705
$501B regulatory AUM 2,231 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
880 Carillon Parkway, St. Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-07-30 |
| TX | RA | APPROVED_RES | 2021-07-20 |
Branch Locations
320 Park Avenue Fl 9, New York, NY 10022 • United States
Larchmont, NY • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | New York | NY | 12/2012 | 11/2016 |
| Wells Fargo Clearing Services, Llc | New York | NY | 11/2016 | 07/2021 |
| Raymond James & Associates, Inc. | New York | NY | 07/2021 | Present |
PATRICIA GARDENS; NOT INV RELATED, LARCHMONT, NY, CO-OP BOARD PRESIDENT, START: 1/1/2020, 4 HOURS PER MONTH/0 DURING TRADING, ATTENDING MEETINGS TO INTERVIEW APPLICANTS, REVIEW RULES & FINANCES OF THE COOP, AND MAKING DECISIONS ON CAPITAL EXPENDITURES.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-01-12 |
| S63 | Uniform Securities Agent State Law Examination | 1980-01-30 |
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