Kevin H. Giddis
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.
Kevin Howard Giddis was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1984. Kevin had worked at 7 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 99TO, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 52, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2012 - December 8, 2020
RAYMOND JAMES & ASSOCIATES, INC.
April 2, 1998 - October 11, 2013
MORGAN KEEGAN & COMPANY, LLC
July 17, 1992 - February 12, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
May 21, 1990 - August 26, 1991
CAPITAL ONE INVESTMENTS, LLC
June 27, 1989 - February 10, 1990
BANCTEXAS SECURITIES INC.
November 13, 1987 - July 23, 1988
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
January 2, 1987 - November 3, 1987
ROTAN MOSLE INC.
December 11, 1984 - December 2, 1986
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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 7TO
Date: 11/5/2022
General Securities Representative ExaminationSeries 79TO
Date: 11/5/2022
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 11/5/2022
Operations Professional ExaminationSeries 57TO
Date: 11/5/2022
Securities Trader ExamSeries 55
Date: 1/12/2000
Limited Representative-Equity Trader ExamCurrent Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| AULETTA, SUZANNE ELIZABETH | DIRECTOR | 1418817 |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CAMPAGNOLI, VINCENT JOHN | CHIEF INFORMATION OFFICER | 1421076 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
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.
