David L. Holzman
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.
David Lawrence Holzman, who also goes by David Holzmen, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 5 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - July 1, 2026
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 12, 2002 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - July 1, 2026
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 31, 1993 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
May 14, 1990 - September 13, 1993
UBS FINANCIAL SERVICES INC.
May 22, 1987 - May 29, 1990
LEHMAN BROTHERS INC.
April 23, 1984 - May 19, 1987
DREXEL BURNHAM LAMBERT 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 5
Date: 3/21/1984
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.
