Wayne E. Dodds
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.
Wayne Eugene Dodds, who also goes by Wayne E Dodds, was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 1988. Wayne had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - April 15, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 14, 2005 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 14, 2005 - April 15, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 24, 2001 - January 18, 2005
MORGAN STANLEY DW INC.
July 18, 2000 - January 18, 2005
MORGAN STANLEY DW INC.
October 5, 1995 - July 21, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 16, 1990 - September 20, 1995
FIFTH THIRD SECURITIES, INC.
October 10, 1988 - February 7, 1990
EDWARD JONES
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 8
Date: 8/29/1996
General Securities Sales Supervisor Examination (Options Module & General Module)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.
