James W. Paxton
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 Watson Paxton, who also goes by James W Paxton, Jim Paxton, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 7 firms and has passed the Series 65, 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
August 24, 2012 - December 23, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 23, 2012 - December 23, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 8, 2012 - August 28, 2012
INVESTORS CAPITAL CORP.
August 8, 2012 - August 28, 2012
INVESTORS CAPITAL CORP.
May 13, 2003 - August 9, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
May 6, 2003 - July 3, 2006
IDS LIFE INSURANCE COMPANY
May 6, 2003 - August 9, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
August 15, 1997 - January 14, 2003
ZIONS DIRECT, INC.
February 24, 1994 - September 3, 1997
EDWARD JONES
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.
