Douglas A. Brown
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.
Douglas Alan Brown, CFP® was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1981. Douglas had worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31, Series 15, Series 5, Series 7, Series 10 and Series 9 exams.
At a Glance
Services Offered
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1990
Experience
October 10, 2012 - July 1, 2026
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 3, 2012 - July 1, 2026
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 24, 2010 - October 3, 2012
RAYMOND JAMES & ASSOCIATES, INC.
October 31, 2003 - October 3, 2012
RAYMOND JAMES & ASSOCIATES, INC.
November 7, 1997 - November 17, 2003
J.J.B. HILLIARD, W.L. LYONS, LLC
June 8, 1992 - November 17, 1997
FIRST OF MICHIGAN CORPORATION
March 21, 1984 - June 5, 1992
A. G. EDWARDS & SONS, INC.
October 4, 1983 - April 13, 1984
E. F. HUTTON & COMPANY INC
December 23, 1981 - August 29, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 15
Date: 9/25/1985
Foreign Currency Options ExaminationSeries 5
Date: 1/26/1982
Interest Rate Options ExaminationCurrent 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 | 1,107,860 |
| AUM (Assets Under Management) | $ 390,042,864,529 |
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.
Company Information
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Branch ManagerCRD#: 149018TRUST BUT VERIFY
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