James C. Abel
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 Calvin Abel JR, AIF®, CFP®, ChFC®, CLU®, who also goes by James Calvin Abel, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1990. James had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1994
Experience
March 9, 2011 - December 31, 2023
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 4, 2011 - December 31, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 2, 2004 - March 9, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 27, 2004 - March 9, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 7, 2002 - May 28, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 23, 2002 - May 28, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 7, 2001 - April 24, 2002
INVESTORS CAPITAL CORP.
October 25, 1995 - May 9, 2001
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 9, 1994 - November 9, 1995
ZIONS DIRECT, INC.
June 11, 1993 - March 21, 1995
INDEPENDENT FINANCIAL SECURITIES, INC.
August 1, 1991 - June 25, 1993
IFMG SECURITIES, INC.
October 2, 1990 - August 1, 1991
PAMCO SECURITIES AND INSURANCE SERVICES
October 2, 1990 - September 4, 1991
GAF FINANCIAL AND INSURANCE SERVICES
March 26, 1990 - September 27, 1990
WADDELL & REED
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.
