Jerry Rice
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.
Jerry Rice was a registered financial professional .
Jerry is a previously registered financial professional and started their career in finance in 1968. Jerry had worked at 10 firms and has passed the Series 65, Series 63, SIE, PC, Series 000, Series 1, Series 30 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
January 12, 2009 - November 15, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 21, 2003 - January 12, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - November 15, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 12, 1995 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
July 31, 1993 - October 6, 1995
CITIGROUP GLOBAL MARKETS INC.
September 5, 1990 - July 31, 1993
LEHMAN BROTHERS INC.
November 22, 1977 - November 20, 1983
LEHMAN BROTHERS INC.
September 16, 1977 - September 6, 1979
PRUDENTIAL EQUITY GROUP, LLC
September 9, 1977 - September 16, 1977
BACHE HALSEY STUART INC.
June 24, 1976 - November 22, 1977
FAULKNER, DAWKINS & SULLIVAN INC.
March 12, 1971 - July 7, 1976
CITIGROUP GLOBAL MARKETS INC.
October 1, 1970 - April 8, 1972
ABRAHAM & CO., INC.
February 26, 1968 - September 13, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH 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: 12/3/1979
AMEX Put and Call ExamSeries 000
Date: 2/26/1968
General Securities Principal ExaminationSeries 1
Date: 2/26/1968
Registered Representative ExaminationSeries 40
Date: 7/17/1978
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
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.
