Ralph H. Ammons
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.
Ralph Henry Ammons JR, who also goes by Hank Ammons Jr, Hank Ammons, was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1986. Ralph had worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, Series 52TO, SIE, Series 7, Series 6, Series 24, Series 53, Series 4 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2021 - December 31, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 21, 2021 - December 31, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 3, 2018 - January 25, 2021
LPL FINANCIAL LLC
May 2, 2018 - January 25, 2021
LPL FINANCIAL LLC
September 9, 2016 - May 9, 2017
TRUIST ADVISORY SERVICES, INC.
May 23, 2002 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
January 1, 1996 - May 9, 2017
TRUIST INVESTMENT SERVICES, INC.
September 8, 1994 - July 5, 1995
TRUIST INVESTMENT SERVICES, INC.
June 30, 1986 - December 13, 1989
FIRST FUNDS, INC.
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
Series 7TO
Date: 3/14/2024
General Securities Representative ExaminationSeries 52TO
Date: 3/14/2024
Municipal Securities Representative ExaminationCurrent 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.
