James D. Hall
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 Douglas Hall, who also goes by Doug Hall, James D Hall, James Doug Hall, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 7 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2013 - December 31, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 13, 2013 - December 31, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 29, 2010 - March 12, 2013
USCA RIA LLC
October 8, 2010 - March 12, 2013
USCA SECURITIES LLC
November 10, 2006 - October 14, 2010
UBS FINANCIAL SERVICES INC.
November 10, 2006 - October 14, 2010
UBS FINANCIAL SERVICES INC.
July 18, 1994 - November 13, 2006
MORGAN STANLEY DW INC.
July 15, 1994 - November 13, 2006
MORGAN STANLEY DW INC.
October 3, 1988 - July 5, 1994
UBS FINANCIAL SERVICES INC.
November 23, 1984 - September 15, 1987
LEHMAN BROTHERS 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.
