Jim L. Chesley
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.
Jim Lee Chesley was a registered financial professional .
Jim is a previously registered financial professional and started their career in finance in 1985. Jim had worked at 6 firms and has passed the Series 63, SIE 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
February 26, 2013 - August 2, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 19, 2013 - August 2, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 25, 2009 - February 20, 2013
INVESTMENT CENTERS OF AMERICA, INC.
February 9, 2009 - February 20, 2013
INVESTMENT CENTERS OF AMERICA, INC.
September 9, 1988 - February 6, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
November 19, 1985 - May 11, 1995
AMERICAN EXPRESS FINANCIAL CORPORATION
November 19, 1985 - July 3, 2006
IDS LIFE INSURANCE COMPANY
November 19, 1985 - February 6, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
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.
