RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC of SAINT PETERSBURG, FL is an SEC-registered investment adviser (CRD 149018). Regulatory assets under management: $390.0B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Commissions, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Other.
Showing 25 of 48 people.
| Name | Role | Location |
|---|---|---|
| Jonathan Santelli | GENERAL COUNSEL | — |
| Scott Curtis | DIRECTOR | — |
| Philip Roger Martin | RIA CHIEF COMPLIANCE OFFICER | — |
| Keith Gregory Rust | DIRECTOR | — |
| Brock Aaron Guice | SECRETARY | — |
| Tashtego Spring Elwyn | DIRECTOR; DIRECTOR; CHAIRMAN OF THE BOARD; PRESIDENT; CHIEF EXECUTIVE OFFICER | — |
| Stephen Edward Kruchten | DIRECTOR | — |
| Ronice L Barlow | CHIEF OPERATING OFFICER | — |
| Douglas Clark Brigman | DIRECTOR | — |
| Shannon Belveal Reid | DIRECTOR; PRESIDENT; CHIEF EXECUTIVE OFFICER | — |
| Erik Mills Fruland | DIRECTOR | — |
| Marshall Farrokh Ollia | TREASURER | — |
| JAMES THOMAS ALAN | DIRECTOR, CHAIRMAN; DIRECTOR, CHAIRMAN & CEO | — |
| RUNKLE DONALD KENNETH | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER/RJFS; RJFS COMPLIANCE OFFICER IN CHIEF | — |
| HAAS MARY ELIZABETH | CORPORATE SECRETARY | — |
| AVERITT RICHARD GARLAND | CHAIRMAN & CEO | — |
| MATECKI PAUL LOUIS | CHIEF LEGAL OFFICER | — |
| BOWMAN JOHN WILLIAM | ASSISTANT VICE PRESIDENT | — |
| FULP JAMES ALAN | DIRECTOR | — |
| TREMAINE THOMAS ROBERT | DIRECTOR | — |
| HELCK CHESTER BEE | DIRECTOR | — |
| THACKERAY JASON SCOTT | ASSOCIATE COMPLIANCE DIRECTOR; ASSOCIATE COMPLIANCE DIRECTOR, CHIEF COMPLIANCE OFFICER; ASSOCIATE COMPLIANCE DIRECTOR/CROP- RIA CHIEF COMPLIANCE OFFICER (+3 more) | — |
| DISCIASCIO DAVID ROBERT | ROSFP; SROP | — |
| FRANZ RICHARD BONAFIELD | TREASURER; CHIEF FINANCIAL OFFICER | — |
| HOUSTON JOHN WASCOM | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-08-29 | regulatory | ENTERED INTO A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT (AWC) WITH FINRA FOR NOT REASONABLY SUPERVISING THE FIRM'S REPORTING, INCLUDING TIMELINESS OF REPORTING, OF CUSTOMER COMPLAINTS VIA FINRA RULE 4530 FILINGS AND AMENDMENTS TO REGISTERED REPRESENTATIVES' FORMS U4 AND U5 SINCE AT LEAST JANUARY 20… | Final | $1.8M |
| 2023-07-10 | regulatory | — | — | — |
| 2019-09-17 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ALLEGED THAT RAYMOND JAMES & ASSOCIATES, INC. ("RJA") AND RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. ("RJFSA") VIOLATED SECTIONS 206(2) AND 206(4) OF THE INVESTMENT ADVISERS ACT OF 1940 ("ADVISERS ACT"), AND RULE 206(4)-7 THEREUNDER, BY FAILING TO… | Final | $3.0M |
| 2019-03-11 | regulatory | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. ("RJFSA") ENTERED INTO A SETTLEMENT WITH THE U.S. SECURITIES AND EXCHANGE COMMISSION ("SEC") PURSUANT TO THE SEC'S SHARE CLASS SELECTION DISCLOSURE INITIATIVE. PURSUANT TO THE SEC'S ORDER DATED MARCH 11, 2019, THE SEC FOUND THAT AT TIMES BETWEEN JANUAR… | Final | — |
| 2017-12-21 | regulatory | WITHOUT ADMITTING OR DENYING FINRA'S FINDINGS, RAYMOND JAMES FINANCIAL SERVICES ("RJFS" OR "FIRM") CONSENTED TO THE SANCTIONS IMPOSED BY FINRA AND TO THE ENTRY OF FINDINGS THAT, BETWEEN DECEMBER 2007 AND SEPTEMBER 2017, RJFS DID NOT HAVE SUPERVISORY SYSTEMS AND PROCESS FOR REVIEWING EMAIL COMMUNICAT… | Final | $2.0M |
| 2017-06-09 | regulatory | COMMONWEALTH OF MASSACHUSETTS ALLEGED FAILURE TO REGISTER INVESTMENT ADVISER REPRESENTATIVE WHO HAD A PLACE OF BUSINESS IN MASSACHUSETTS AND TO ENSURE INVESTMENT ADVISER REPRESENTATIVE WAS PROPERLY REGISTERED WITH THE COMMONWEALTH. | Final | $75K |
| 2016-09-08 | regulatory | THIS MATTER ARISES FROM RAYMOND JAMES & ASSOCIATES, INC.'S ("RJA") FAILURE TO ADOPT AND IMPLEMENT POLICIES AND PROCEDURES RELATING TO TRADING COMMISSIONS CHARGED TO CLIENTS PARTICIPATING IN THE RAYMOND JAMES CONSULTING SERVICES ("RJCS") SEPARATELY MANAGED ACCOUNT PROGRAM. UNDER THE RJCS PROGRAM, CLI… | Final | $600K |
| 2016-05-18 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT, AND ITS AMLCO, FAILED TO ESTABLISH AND IMPLEMENT POLICIES AND PROCEDURES TO REASONABLY DETECT AND CAUSE THE REPORTING OF SUSPICIOUS TRANSACTIONS. THE FINDINGS STATED THAT AS THE FIRM'… | Final | $17.0M |
| 2016-03-08 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT CAUSED CERTAIN NEWLY-RECRUITED REGISTERED REPRESENTATIVES FROM OTHER BROKERAGE FIRMS TO DISCLOSE CUSTOMER NONPUBLIC PERSONAL INFORMATION TO IT IN VIOLATION OF REGULATION S-P UNDER THE… | Final | $500K |
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