Jeffrey D. Saut
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.
Jeffrey David Saut was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1972. Jeffrey had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 16, Series 5, PC, Series 1, Series 10, Series 9, Series 24 and Series 4 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 2004 - May 7, 2019
RAYMOND JAMES & ASSOCIATES, INC.
July 21, 1998 - June 2, 1999
BANC ONE CAPITAL MARKETS, INC.
May 27, 1998 - September 25, 1999
RONEY & CO.
May 27, 1998 - May 7, 2019
RAYMOND JAMES & ASSOCIATES, INC.
January 13, 1997 - May 20, 1998
STERNE, AGEE & LEACH, INC.
March 15, 1993 - December 6, 1996
FERRIS, BAKER WATTS, LLC
September 29, 1989 - March 18, 1993
BRANCH, CABELL & CO., INC.
June 5, 1986 - August 10, 1989
FIRST UNION CAPITAL MARKETS CORP.
May 10, 1976 - June 16, 1986
THOMSON MCKINNON SECURITIES INC.
May 2, 1973 - May 3, 1976
E. F. HUTTON & COMPANY INC
September 22, 1972 - January 2, 1974
RS DICKSON POWELL KISTLER & CRAWFORD
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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: 10/20/1981
Interest Rate Options ExaminationPC
Date: 9/13/1977
AMEX Put and Call ExamSeries 1
Date: 9/20/1972
Registered Representative ExaminationCurrent Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| KONEFAL, RICHARD EUGENE | DIRECTOR | 2431960 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,143,145 |
| AUM (Assets Under Management) | $ 500,955,604,975 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
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.
