Edward C. Ventham
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.
Edward Charles Ventham, who also goes by Ed Charles Ventham, Ed Ventham, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1989. Edward had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2023 - June 11, 2024
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 19, 2023 - June 11, 2024
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 21, 2014 - October 18, 2023
CETERA INVESTMENT ADVISERS LLC
March 7, 2003 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
October 2, 2000 - October 18, 2023
CETERA INVESTMENT SERVICES LLC
March 13, 1997 - June 19, 2000
TRUIST INVESTMENT SERVICES, INC.
April 22, 1994 - December 19, 1994
TRUIST INVESTMENT SERVICES, INC.
August 13, 1992 - March 4, 1994
ENTERPRISE FUND DISTRIBUTORS, INC.
February 27, 1991 - February 20, 1992
SECURITIES AMERICA, INC.
January 11, 1990 - October 23, 1990
THE BENHAM GROUP
October 31, 1989 - December 14, 1989
ANCHOR NATIONAL 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.
