Adam C. Miles
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.
Adam Christian Miles was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 1999. Adam had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 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
June 9, 2017 - December 31, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 2, 2017 - December 31, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 16, 2014 - June 13, 2017
RBC CAPITAL MARKETS, LLC
July 16, 2014 - June 13, 2017
RBC CAPITAL MARKETS, LLC
August 7, 2007 - July 29, 2014
DEUTSCHE BANK SECURITIES INC.
August 7, 2007 - July 29, 2014
DEUTSCHE BANK SECURITIES INC.
July 24, 2003 - August 16, 2007
LEUCADIA ASSET MANAGEMENT LLC
June 27, 2002 - August 16, 2007
JEFFERIES LLC
September 18, 2000 - July 10, 2002
ROBERTSON STEPHENS, INC.
March 24, 1999 - October 2, 2000
CHARLES SCHWAB & CO., 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
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.
