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Harriet M. Sandefur

Some features on this profile are disabled
CRD#: 1399897
HS

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.

Harriet Martin Sandefur, CFP®, who also goes by Harriet Martin Barnes, Harriet Martin Boyd, Harriet Harper Martin, was a registered financial professional .

Harriet is a previously registered financial professional and started their career in finance in 1988. Harriet had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Harriet Martin Barnes | Harriet Martin Boyd | Harriet Harper Martin

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. ANN LAY WILSON TRUST - TRUSTEE - NON-INVESTMENT RELATED - 7 AGATE STREAM PLACE, THE WOODLANDS, TX 77381 - START DATE 11/5/2002 - TRUST FOR INDIVIDUAL - 2 HOURS A MONTH - MAKE DISTRIBUTIONS TO ANN WILSON AS NEEDED - KEEP BOOKS - DO TAX RETURNS 2. PLANNING CONCEPTS CAPITAL INC. - PRESIDENT/100% OWNER - CPA, CFP - NON-INVESTMENT RELATED - 7 AGAGE STREAM PLACE, THE WOODLANDS, TX 77381 - TAX PREPARATIONS, ACCOUNTING, CONSULTING - AS NEEDED DURING TAX SEASON PREPARING TAX RETURNS

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Experience

Past

August 24, 2017 - August 9, 2022

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
BEAUMONT, TX
Past

August 30, 2016 - April 28, 2017

BROKER DEALER FINANCIAL SERVICES CORP.

BD
CRD#: 8073
BEAUMONT, TX
Past

August 15, 2016 - June 21, 2017

LEXAURUM ADVISORS

RIA
CRD#: 283653
Beaumont, TX
Past

May 4, 2006 - August 15, 2016

VSR FINANCIAL SERVICES, INC.

RIA
CRD#: 14503
BEAUMONT, TX
Past

November 2, 2004 - August 15, 2016

VSR FINANCIAL SERVICES, INC.

BD
CRD#: 14503
BEAUMONT, TX
Past

May 1, 1989 - November 2, 2004

GROVE POINT INVESTMENTS, LLC

BD
CRD#: 1763
ROCKVILLE, MD
Past

November 2, 1988 - April 25, 1989

CAREY JAMISON & COMPANY

BD
CRD#: 14129
Past

October 19, 1988 - October 31, 1988

HIBBARD BROWN & CO., INC.

BD
CRD#: 18246
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA
Registered Investment Advisory firm - (12/23/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/5/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/28/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1988
General Securities Representative Examination

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA
Registered Investment Advisory firm - (12/23/2008 Approved)
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Contact information

Main Address
880 Carillon Parkway, Saint Petersburg, FL 33716
Mailing Address
Phone number
(727) 567-3020
Established
Firm type
Fiscal year end
# of Employees
6,727

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. WRAP BROCHURE (6/30/2025)
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. FIRM BROCHURE (6/30/2025)

Regulatory assets under management

Total Number of Accounts1,030,208
AUM (Assets Under Management)$ 344,868,106,925

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/12/2025
Cover Page
Report
08/21/2024
Cover Page
Report
09/27/2023
Cover Page
Report

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.

Company Information

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

CRD#: 149018

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