James C. Wainwright
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 Clyde Wainwright JR, who also goes by James Clyde Jr Wainwright, Jim Wainwright, Jimmy Wainwright, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 8 firms and has passed the Series 63, Series 3, Series 7, Series 4, Series 53 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
June 4, 2009 - May 13, 2014
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 4, 1999 - May 13, 2014
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 12, 1998 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
July 22, 1994 - August 14, 1998
LEGG MASON WOOD WALKER, INCORPORATED
June 20, 1986 - August 4, 1994
ROBERT THOMAS SECURITIES, INC
February 12, 1985 - July 1, 1986
THOMSON MCKINNON SECURITIES INC.
January 3, 1985 - February 12, 1985
SCHNEIDER, BERNET & HICKMAN, INC.
March 16, 1984 - January 9, 1985
INTEGRATED RESOURCES EQUITY CORPORATION
March 1, 1983 - March 13, 1984
HOWARD, WEIL, LABOUISSE, FRIEDRICHS 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
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.
