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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
AL RA APPROVED 2022-02-28
  • AL RA
    APPROVED
    Since 2022-02-28

Branch Locations

Warrior, AL • United States

880 Carillon Parkway, St. Petersburg, FL 33716 • UNITED STATES

Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2022-02-28
  • AL RA
    APPROVED
    Since 2022-02-28

Branch Locations

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Warrior, AL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Birmingham AL 05/2009 11/2016
Wells Fargo Clearing Services, Llc Birmingham AL 11/2016 02/2022
Raymond James & Associates, Inc. Warrior AL 02/2022 Present
Raymond James Financial Services, Inc. Warrior AL 02/2022 Present
Raymond James Financial Services Advisors, Inc. Warrior AL 02/2022 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-09-18
S63 Uniform Securities Agent State Law Examination 2001-06-04
  • S65 Uniform Investment Adviser Law Examination
    2006-09-18
  • S63 Uniform Securities Agent State Law Examination
    2001-06-04
Other Names
  • Dusty G Kanute

View on SEC IAPD

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