Talley D. Leger
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.
Talley D Leger, who also goes by Talley D'estlyn Leger, Talley Leger, Talley D Leger, Talley D'estlyn Thorne, was a registered financial professional .
Talley is a previously registered financial professional and started their career in finance in 2000. Talley had worked at 10 firms and has passed the Series 63, Series 66, SIE, Series 86, Series 87, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2023 - June 3, 2024
RAYMOND JAMES & ASSOCIATES, INC.
May 25, 2019 - July 22, 2023
INVESCO DISTRIBUTORS, INC.
June 24, 2016 - May 25, 2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
September 22, 2008 - February 11, 2011
BARCLAYS CAPITAL INC.
July 17, 2008 - September 22, 2008
LEHMAN BROTHERS INC.
August 8, 2007 - March 17, 2008
INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC
August 27, 2003 - February 6, 2004
RBC CAPITAL MARKETS, LLC
June 23, 2003 - September 15, 2004
RBC CAPITAL MARKETS CORPORATION
June 10, 2002 - May 2, 2003
BROWN BROTHERS HARRIMAN & CO.
November 20, 2000 - May 28, 2002
MORGAN STANLEY DW INC.
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
Current 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 EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| 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 | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
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.
