James L. Overman
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.
James Lawrence Overman was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1971. James had worked at 8 firms and has passed the Series 63, Series 65, Series 7TO, SIE, PC, Series 1, Series 12, Series 4 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
May 28, 2019 - June 22, 2022
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 23, 2019 - June 22, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 11, 1983 - May 23, 2019
RAYMOND JAMES & ASSOCIATES, INC.
December 20, 1982 - May 23, 2019
RAYMOND JAMES & ASSOCIATES, INC.
November 12, 1981 - December 29, 1982
E.V.I. GROUP LIMITED, INC.
September 12, 1978 - October 29, 1981
UBS FINANCIAL SERVICES INC.
September 18, 1974 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
August 6, 1974 - November 1, 1974
METLIFE INVESTORS DISTRIBUTION COMPANY
December 2, 1971 - December 26, 1973
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 11/15/1986
AMEX Put and Call ExamSeries 1
Date: 12/1/1971
Registered Representative ExaminationSeries 12
Date: 11/3/1977
NYSE Branch Manager ExaminationSeries 40
Date: 8/8/1977
Registered Principal 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
