Brad J. Reynolds
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.
Brad James Reynolds was a registered financial professional .
Brad is a previously registered financial professional and started their career in finance in 1995. Brad had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 55, Series 52 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
August 18, 2014 - October 9, 2014
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 18, 2014 - October 9, 2014
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 9, 2010 - September 5, 2013
LJPR FINANCIAL ADVISORS
January 12, 2004 - January 31, 2005
NATALLIANCE SECURITIES, LLC
May 1, 2003 - October 20, 2003
NATALLIANCE SECURITIES, LLC
August 30, 2002 - May 21, 2003
HUBERMAN FINANCIAL INC.
October 12, 2000 - December 31, 2001
SERVICE ASSET MANAGEMENT COMPANY
June 7, 2000 - December 15, 2000
PENSON FINANCIAL SERVICES, INC.
April 11, 1995 - May 12, 2000
AMERIPRISE ADVISOR SERVICES, INC.
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
Series 55
Date: 4/27/2000
Limited Representative-Equity Trader ExamCurrent 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.
