Edgar S. Guthrie
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CRD#: 232368
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.
Edgar Stephen Guthrie was a registered financial professional .
Edgar is a previously registered financial professional and started their career in finance in 1970. Edgar had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) BAY COVE
ADDRESS: SCARBOROUGH, ME
NATURE OF THE BUSINESS: REAL ESTATE DEVELOPMENT
POSITION/TITLE:
INVESTMENT RELATED:YES
START DATE: 06/30/2014
HOURS PER MONTH DEVOTED TO THIS BUSINESS: 1
HOURS PER MONTH DEVOTED TO THIS BUSINESS DURING TRADING HOURS: 0
DESCRIPTION OF DUTIES: NONE
(2) COTTON STREET
ADDRESS: SCARBOROUGH, ME
NATURE OF THE BUSINESS: REAL ESTATE DEVELOPMENT
POSITION/TITLE:
INVESTMENT RELATED:YES
START DATE: 06/30/2014
HOURS PER MONTH DEVOTED TO THIS BUSINESS: 1
HOURS PER MONTH DEVOTED TO THIS BUSINESS DURING TRADING HOURS: 0
DESCRIPTION OF DUTIES: NONE
(3)Name of Business : North River IV LLC
Address: 224 12th ave ,new york, NY
Nature of the Business: Real Estate Development
Position/Title:
Investment Related:Yes
Start Date: 02/26/2015
Hours per month devoted to this business: 0
Hours per month devoted to this business during trading hours: 0
Description of duties: none.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
June 20, 2013 - December 31, 2023
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
PORTLAND, ME
Past
June 20, 2013 - December 31, 2023
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
PORTLAND, ME
Past
June 1, 2009 - July 15, 2013
MORGAN STANLEY
RIA
CRD#: 149777
PORTLAND, ME
Past
June 1, 2009 - July 11, 2013
MORGAN STANLEY
BD
CRD#: 149777
PORTLAND, ME
Past
February 2, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
PORTLAND, ME
Past
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
PORTLAND, ME
Past
February 15, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
February 6, 1974 - February 15, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
July 2, 1973 - September 5, 1975
DUPONT WALSTON, INCORPORATED
BD
CRD#: 870
Past
June 28, 1971 - April 23, 1976
DUPONT GLORE FORGAN INCORPORATED
BD
CRD#: 325
Past
July 23, 1970 - June 28, 1971
F I DUPONT GLORE FORGAN & CO
BD
CRD#: 1000002
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RAYMOND JAMES & ASSOCIATES, INC.
ALEX. BROWN | STRATEGIC INVESTMENT MANAGEMENT SERVICES | RAYMOND JAMES CONSULTING SERVICES | RAYMOND JAMES & ASSOCIATES, INC. | PUBLIC FINANCE INVESTMENT STRATEGIES GROUP | INVESTMENT ADVISORY SERVICES | INSTITUTIONAL FIDUCIARY SOLUTIONS | ASSET MANAGEMENT SERVICES
CRD#: 705 / SEC#: 801-10418, 8-10999
RIA
Registered Investment Advisory firm - SEC (12/19/1974 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 8/31/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 7/26/1968
Registered Representative ExaminationCurrent Firm
RAYMOND JAMES & ASSOCIATES, INC.
ALEX. BROWN | STRATEGIC INVESTMENT MANAGEMENT SERVICES | RAYMOND JAMES CONSULTING SERVICES | RAYMOND JAMES & ASSOCIATES, INC. | PUBLIC FINANCE INVESTMENT STRATEGIES GROUP | INVESTMENT ADVISORY SERVICES | INSTITUTIONAL FIDUCIARY SOLUTIONS | ASSET MANAGEMENT SERVICES
CRD#: 705 / SEC#: 801-10418, 8-10999
RIA
Registered Investment Advisory firm - SEC (12/19/1974 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
880 Carillon Parkway, St. Petersburg, FL 33716
Mailing Address
880 Carillon Parkway, St. Petersburg, FL 33716
Phone number
(727) 567-1000
Established
Florida since 02/19/1969
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees
13,966
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.
Company Information
RAYMOND JAMES & ASSOCIATES, INC.
Financial AdvisorCRD#: 705TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
