David A. Kamm
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.
David Anthony Kamm was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1970. David had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 000, Series 1, Series 12 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 1997 - November 11, 2016
RAYMOND JAMES & ASSOCIATES, INC.
February 20, 1997 - November 11, 2016
RAYMOND JAMES & ASSOCIATES, INC.
July 31, 1993 - February 5, 1997
CITIGROUP GLOBAL MARKETS INC.
February 1, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
October 6, 1983 - February 5, 1991
MORGAN STANLEY DW INC.
August 16, 1973 - October 3, 1977
RONEY & CO. L.L.C.
October 7, 1970 - October 27, 1983
RAYMOND JAMES & ASSOCIATES, INC.
September 8, 1970 - September 20, 1973
DUPONT WALSTON, INCORPORATED
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
Series 15
Date: 1/13/1982
Foreign Currency Options ExaminationSeries 000
Date: 10/7/1970
General Securities Principal ExaminationSeries 1
Date: 4/6/1964
Registered Representative ExaminationSeries 12
Date: 3/23/1978
NYSE Branch Manager ExaminationSeries 40
Date: 12/10/1977
Registered Principal ExaminationCurrent 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.
