David L. Canady
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.
David Lee Canady was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1968. David had worked at 6 firms and has passed the Series 63, SIE, Series 1 and Series 00 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
September 4, 2007 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 24, 1975 - December 31, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 18, 1973 - April 15, 1974
FUNDAMENTAL SERVICE CORPORATION
July 18, 1973 - October 29, 1975
FINANCIAL SERVICE CORPORATION OF AMERICA
September 23, 1970 - September 24, 1973
FIRST CLEVELAND INVESTMENTS, INC.
May 14, 1968 - February 29, 1972
COMMERCIAL CORPORATION
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 1
Date: 5/7/1968
Registered Representative ExaminationSeries 00
Date: 7/18/1973
General Securities 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.
