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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
FL RA APPROVED 2024-03-28
TN RA APPROVED 2008-06-24
  • FL RA
    APPROVED
    Since 2024-03-28
  • TN RA
    APPROVED
    Since 2008-06-24

Branch Locations

1033 Demonbreun Street Suite 500, Nashville, TN 37203 • United States

Naples, FL • United States

Disclosures

2 disclosure categories 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James & Associates Nashville TN 06/2008 Present
  • 06/2008 → Present
    Raymond James & Associates
    Nashville, TN
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-07
S63 Uniform Securities Agent State Law Examination 1986-11-10
  • S65 Uniform Investment Adviser Law Examination
    1999-12-07
  • S63 Uniform Securities Agent State Law Examination
    1986-11-10
Other Names
  • Buddy Enoch

View on SEC IAPD

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