Jay B. Harriman
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.
Jay Brian Harriman was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1996. Jay had worked at 4 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 30 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 - November 19, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 21, 2003 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 10, 2003 - November 19, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 20, 1999 - February 14, 2003
MORGAN KEEGAN & COMPANY, LLC
April 12, 1999 - February 14, 2003
MORGAN KEEGAN & COMPANY, LLC
November 21, 1996 - April 16, 1999
PRUDENTIAL EQUITY GROUP, LLC
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.
