RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
|
|
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
(CRD# 149018)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Saint Petersburg, FL.
The SEC approved the firm to operate as an RIA in
Dec 2008.
In
Jan 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$103.7 Billion,
with discretion over
57%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
|
|
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
also reported in
Jan 2019
-
6224
employees,
with
5062
performing advisory functions.
-
A total of 2459 office locations.
-
No registrations with foreign financial regulatory authorities.
-
NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
|
|
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC has one or more disclosure events currently on file with the SEC.
|
|
|
|
|
|
|
|
|
|
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC has Notice Filings with the following State Securities Authorities: AK-Dec 2008, AL-Dec 2008, AR-Dec 2008, AZ-Dec 2008, CA-Dec 2008
, CO-Dec 2008, CT-Dec 2008, DC-Dec 2008, DE-Jan 2009, FL-Dec 2008
, GA-Dec 2008, HI-Dec 2008, IA-Dec 2008, ID-Dec 2008, IL-Dec 2008
, IN-Dec 2008, KS-Dec 2008, KY-Dec 2008, LA-Dec 2008, MA-Dec 2008
, MD-Dec 2008, ME-Dec 2008, MI-Dec 2008, MN-Dec 2008, MO-Dec 2008
, MS-Dec 2008, MT-Dec 2008, NC-Dec 2008, ND-Dec 2008, NE-Dec 2008
, NH-Dec 2008, NJ-Jan 2009, NM-Dec 2008, NV-Dec 2008, NY-Dec 2008
, OH-Dec 2008, OK-Dec 2008, OR-Dec 2008, PA-Dec 2008, PR-Dec 2008
, RI-Dec 2008, SC-Dec 2008, SD-Dec 2008, TN-Dec 2008, TX-Dec 2008
, UT-Dec 2008, VA-Dec 2008, VI-Dec 2008, VT-Dec 2008, WA-Dec 2008
, WI-Dec 2008, WV-Dec 2008, WY-Aug 2017
|
|
|
|
Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
|
|
|
|
|
|
|
|
