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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 | 2021-06-14 |
| CA | RA | APPROVED | 2019-02-19 |
Branch Locations
101 California Street Suite 4500, San Francisco, CA 94111 • United States
Haines Falls, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Francisco | CA | 07/2002 | 02/2019 |
| Bank Of America, N.A. | San Francisco | CA | 09/2009 | 02/2019 |
| Raymond James & Associates | San Francisco | CA | 02/2019 | Present |
| Raymond James & Associates, Inc. | Haines | NY | 06/2019 | Present |
(1)Name of Business: Hendy Dayton Coaching LLC Address: 22 Fifth Avenue, San Francisco, CA, 94118, United States Activity Type: Business Owner Position/Title: Associate/Employee Investment Related: No Start Date: 01/01/2015 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Tax prep; Gov't filings and registrations
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-09-24 |
| S63 | Uniform Securities Agent State Law Examination | 1993-09-10 |
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