Jeffrey R. Grant
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.
Jeffrey Robert Grant was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1985. Jeffrey had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 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
April 18, 2018 - June 14, 2022
RAYMOND JAMES & ASSOCIATES, INC.
April 18, 2018 - June 14, 2022
RAYMOND JAMES & ASSOCIATES, INC.
August 17, 2010 - April 19, 2018
WELLS FARGO CLEARING SERVICES, LLC
August 17, 2010 - April 19, 2018
WELLS FARGO CLEARING SERVICES, LLC
July 5, 2007 - September 1, 2010
UBS FINANCIAL SERVICES INC.
January 27, 2006 - September 1, 2010
UBS FINANCIAL SERVICES INC.
July 24, 1995 - February 8, 2006
CITIGROUP GLOBAL MARKETS INC.
February 7, 1994 - August 2, 1995
MORGAN STANLEY DW INC.
July 17, 1989 - December 17, 1992
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 14, 1987 - August 7, 1989
UBS FINANCIAL SERVICES INC.
October 22, 1985 - October 8, 1987
PRUDENTIAL EQUITY GROUP, LLC
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
Current 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 | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| 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.
