James A. Drum
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.
James Albert Drum JR, who also goes by Jim Drum Jr, Jim Drum, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2017 - January 22, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 9, 2017 - January 22, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 5, 2011 - November 13, 2017
LPL FINANCIAL LLC
July 5, 2011 - November 13, 2017
LPL FINANCIAL LLC
January 1, 2009 - July 5, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
October 3, 2001 - July 5, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
October 1, 1997 - May 13, 1998
OSAIC FS, INC.
April 24, 1995 - October 1, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
June 15, 1988 - July 21, 1988
FORESTERS FINANCIAL SERVICES, 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
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.
