Raymond E. Adams
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.
Raymond Eugene Adams, who also goes by Raymond E Adams, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1995. Raymond had worked at 10 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 4 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
Experience
February 12, 2020 - July 7, 2022
RAYMOND JAMES & ASSOCIATES, INC.
October 29, 2019 - July 7, 2022
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 29, 2019 - July 7, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 10, 2010 - September 19, 2019
TD AMERITRADE, INC.
November 8, 2010 - September 19, 2019
TD AMERITRADE, INC.
February 10, 2010 - October 19, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
February 10, 2010 - October 19, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
January 6, 2010 - December 10, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 4, 2009 - December 2, 2009
MICG INVESTMENT MANAGEMENT, LLC
July 31, 2009 - December 2, 2009
MICG INVESTMENT MANAGEMENT, LLC
October 8, 2008 - March 30, 2009
ROBERT W. BAIRD & CO. INCORPORATED
February 5, 1999 - September 15, 2008
FIRST CLEARING, LLC
November 7, 1995 - February 5, 1999
FIRST UNION CAPITAL MARKETS CORP.
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
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.
