Van R. Comin
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.
Van Ray Comin was a registered financial professional .
Van is a previously registered financial professional and started their career in finance in 1985. Van had worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2017 - November 26, 2025
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 1, 2017 - November 26, 2025
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 8, 2008 - March 2, 2017
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
December 4, 2008 - March 2, 2017
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 14, 2003 - December 5, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 18, 1997 - December 5, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 4, 1992 - July 1, 1997
KEY INVESTMENTS INC.
February 13, 1992 - October 21, 1992
KEY INVESTMENTS INC.
July 25, 1989 - December 2, 1991
INVESTMENT CENTERS OF AMERICA, INC.
October 3, 1988 - August 5, 1989
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 31, 1987 - October 6, 1988
MARKETING ONE SECURITIES, INC.
November 22, 1985 - April 10, 1987
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 | 1,107,860 |
| AUM (Assets Under Management) | $ 390,042,864,529 |
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.
