James Lazzaro
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 Lazzaro was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 10 firms and has passed the Series 65, Series 63, Series 31, Series 7 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
April 13, 2009 - April 14, 2014
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 30, 2004 - October 10, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 13, 2002 - April 14, 2014
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 12, 1999 - May 21, 2002
RAYMOND JAMES & ASSOCIATES, INC.
September 1, 1994 - March 17, 1999
PRUDENTIAL EQUITY GROUP, LLC
October 25, 1990 - September 8, 1994
COBURN & MEREDITH, INC.
January 3, 1989 - November 2, 1990
LEGG MASON WOOD WALKER, INCORPORATED
February 8, 1986 - January 16, 1989
BUTCHER & SINGER INC.
June 14, 1985 - September 3, 1985
THE STUART-JAMES COMPANY, INCORPORATED
March 1, 1985 - June 18, 1985
DOUGLAS BREMEN & CO., INC.
October 1, 1984 - March 6, 1985
INDIVIDUAL'S SECURITIES LTD.
August 24, 1984 - September 10, 1984
DOUGLAS BREMEN & CO., 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.
