James A. Flentje
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 Arthur Flentje, who also goes by James A Flentje, James Flentje, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1996. James had worked at 7 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
August 18, 2014 - June 23, 2015
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 1, 2014 - June 23, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 4, 2014 - July 18, 2014
HSBC SECURITIES (USA) INC.
January 21, 2014 - July 18, 2014
HSBC SECURITIES (USA) INC.
December 10, 2012 - December 19, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 15, 2012 - December 19, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 6, 2012 - July 26, 2012
SECURIAN FINANCIAL SERVICES, INC.
December 22, 1997 - April 22, 1999
JPMSI
April 16, 1996 - October 17, 1997
LEGG MASON WOOD WALKER, INCORPORATED
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.
