Joe A. Amery
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.
Joe Alan Amery, who also goes by Alan Amery, was a registered financial professional .
Joe is a previously registered financial professional and started their career in finance in 1973. Joe had worked at 13 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2025 - October 21, 2025
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 4, 2025 - October 21, 2025
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 27, 2009 - August 5, 2025
LPL FINANCIAL LLC
March 27, 2009 - August 5, 2025
LPL FINANCIAL LLC
October 8, 2007 - March 11, 2009
J.J.B. HILLIARD, W.L. LYONS, LLC
June 1, 2001 - March 11, 2009
J.J.B. HILLIARD, W.L. LYONS, LLC
February 9, 2001 - June 5, 2001
JOSEPHTHAL & CO., INC.
December 18, 1996 - February 16, 2001
MARION BASS SECURITIES CORPORATION
July 31, 1993 - February 7, 1996
CITIGROUP GLOBAL MARKETS INC.
February 15, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
July 2, 1986 - February 15, 1988
E. F. HUTTON & COMPANY INC
September 16, 1977 - July 14, 1986
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
October 25, 1973 - February 27, 1976
BACHE & CO., 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 7/16/1986
AMEX Put and Call ExamSeries 1
Date: 10/22/1973
Registered Representative 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.
