John M. Kooman
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.
John Martin Kooman, who also goes by J. Martin Kooman, Marty Kooman, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1974. John had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 3, PC, Series 1, Series 53 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
January 2, 2009 - December 31, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 5, 2005 - October 11, 2011
KOOMAN & ASSOCIATES, INC.
August 9, 2000 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 20, 1991 - December 31, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 19, 1978 - May 28, 1991
KIDDER, PEABODY & CO. INCORPORATED
May 18, 1977 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
August 27, 1976 - July 9, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
May 9, 1974 - February 27, 1976
BACHE & CO., 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
PC
Date: 8/15/1977
AMEX Put and Call ExamSeries 1
Date: 5/6/1974
Registered Representative ExaminationCurrent 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.
