Evan L. Salomon
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.
Evan Louis Salomon, who also goes by Evan L Salomon, Evan Salomon, was a registered financial advisor .
Evan is a previously registered financial advisor and started their career in finance in 1989. Evan had worked at 10 firms and has passed the Series 65, Series 63, 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
July 11, 2012 - July 18, 2012
RAYMOND JAMES & ASSOCIATES, INC.
November 17, 2010 - July 19, 2012
VALIC FINANCIAL ADVISORS, INC.
October 11, 2010 - July 19, 2012
VALIC FINANCIAL ADVISORS, INC.
May 19, 2009 - October 12, 2009
NATCITY INVESTMENTS, INC.
October 20, 2004 - April 8, 2009
STRATEGIC ADVISERS LLC
October 15, 2004 - April 8, 2009
FIDELITY BROKERAGE SERVICES LLC
August 9, 2004 - September 9, 2004
BANC ONE SECURITIES CORPORATION
August 4, 2004 - September 9, 2004
BANC ONE SECURITIES CORPORATION
June 10, 2003 - November 14, 2003
FISHER INVESTMENTS
November 21, 2002 - June 12, 2003
CITIGROUP GLOBAL MARKETS INC.
November 4, 2002 - June 12, 2003
CITIGROUP GLOBAL MARKETS INC.
August 25, 1999 - October 31, 2002
FIDELITY BROKERAGE SERVICES LLC
December 17, 1997 - July 17, 1999
RAYMOND JAMES & ASSOCIATES, INC.
May 4, 1990 - December 9, 1997
CHARLES SCHWAB & CO., INC.
September 21, 1989 - February 13, 1990
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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: 7/10/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
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.
