Landon K. Roberts
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.
Landon Kent Roberts, who also goes by Buzz Roberts, was a registered financial professional .
Landon is a previously registered financial professional and started their career in finance in 1965. Landon had worked at 7 firms and has passed the Series 65, Series 63, Series 5, Series 1, Series 53, Series 24, Series 4 and Series 12 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 - March 18, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 31, 2002 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 31, 2002 - March 18, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 11, 1998 - February 1, 2002
WELLS FARGO CLEARING SERVICES, LLC
June 15, 1990 - May 11, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
September 15, 1989 - June 26, 1990
PRUDENTIAL EQUITY GROUP, LLC
February 12, 1985 - September 15, 1989
THOMSON MCKINNON SECURITIES INC.
October 11, 1965 - February 12, 1985
SCHNEIDER, BERNET & HICKMAN, 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 5
Date: 10/6/1981
Interest Rate Options ExaminationSeries 1
Date: 10/8/1965
Registered Representative ExaminationSeries 12
Date: 6/19/1982
NYSE Branch Manager 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.
