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Stuart Yates Johnson

Raymond James & Associates, Inc.

Birmingham, AL

CRD 6801934

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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 2019-10-02
AL RA APPROVED 2017-08-07
  • TX RA
    APPROVED_RES
    Since 2019-10-02
  • AL RA
    APPROVED
    Since 2017-08-07

Branch Locations

2900 Highway 280 Suite 100, Birmingham, AL 35223 • 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 And Associates, Inc. Birmingham AL 05/2017 Present
The Title Group, Inc. Birmingham AL 08/2015 05/2017
  • 05/2017 → Present
    Raymond James And Associates, Inc.
    Birmingham, AL
  • 08/2015 → 05/2017
    The Title Group, Inc.
    Birmingham, AL
Other Businesses

(1)Name of Business: Norma Livingston Ovarian Cancer Foundation Address: 3600 8th Ave. S., Birmingham, AL, 35222, United States Activity Type: Non profit Position/Title: Officer - Treasurer, Board Member Investment Related: Yes Start Date: 02/15/2026 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: raising awareness of ovarian cancer; seeking funding for ovarian cancer research; helping raise money for the foundation

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-08-07
  • S66 Uniform Combined State Law Examination
    2017-08-07

View on SEC IAPD

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