Daniel R. Jackson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Daniel Robert Jackson, CIMA® was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1982. Daniel had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - December 17, 2015
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 9, 2008 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 9, 2008 - December 17, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 6, 2004 - May 14, 2008
WELLS FARGO INVESTMENTS, LLC
April 26, 2004 - May 23, 2008
WELLS FARGO INVESTMENTS, LLC
February 9, 1995 - April 27, 2004
A. G. EDWARDS & SONS, INC.
February 24, 1992 - January 31, 1995
UNION EQUITY PARTNERS, INC.
September 17, 1987 - March 3, 1992
USA CAPITAL
November 3, 1982 - August 28, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 1, 1982 - November 9, 1982
RAUSCHER PIERCE REFSNES, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 8/19/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
