James A. Forman
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.
James Allen Forman, who also goes by Jim Forman, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 51 and Series 24 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 - July 19, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 9, 1999 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 12, 1999 - July 19, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 2, 1994 - March 11, 1999
LPL FINANCIAL LLC
April 11, 1988 - December 23, 1992
EDWARD JONES
July 8, 1987 - April 20, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 2, 1986 - November 7, 1994
EDWARD JONES
March 22, 1983 - May 13, 1986
CODER - BOSSEN CORPORATION
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
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.
