Joshua J. Galloway

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CRD#: 4945222

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.

Joshua James Galloway, who also goes by Joshua J Galloway, was a registered financial professional .

Joshua is a previously registered financial professional and started their career in finance in 2005. Joshua had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joshua J Galloway

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 22, 2015 - February 8, 2016

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

SHELBYVILLE, KY

Past

April 17, 2014 - February 4, 2016

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

GREENSBURG, IN

Past

July 11, 2013 - April 11, 2014

FIFTH THIRD SECURITIES, INC.

CRD#: 628

LOUISVILLE, KY

Past

November 13, 2009 - April 3, 2013

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

LOUISVILLE, KY

Past

April 6, 2009 - November 13, 2009

NATCITY INVESTMENTS, INC.

CRD#: 17490

LOUISVILLE, KY

Past

August 22, 2005 - September 8, 2008

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

LOUISVILLE, KY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/9/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/1/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/4/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/27/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/19/2005

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

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Contact information

Main Address

880 Carillon Parkway, Saint Petersburg, FL 33716

Mailing Address

Phone number

(727) 567-3020

Established

Firm type

Fiscal year end

# of Employees

6,727

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. WRAP BROCHURE (6/30/2025)

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. FIRM BROCHURE (6/30/2025)

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	Cover Page	Report
08/21/2024	Cover Page	Report
09/27/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Joshua J. Galloway

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES, INC.

FIFTH THIRD SECURITIES, INC.

PNC WEALTH MANAGEMENT LLC

NATCITY INVESTMENTS, INC.

CHASE INVESTMENT SERVICES CORP.

Primary Firm SEC Registration

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/9/2015

Series 63

Date: 6/1/2005

SIE

Date: 2/4/2016

Series 7

Date: 9/27/2012

Series 6

Date: 8/19/2005

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

TRUST BUT VERIFY

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