Donald J. Miner
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.
Donald James Miner JR, who also goes by Donald James Miner, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1973. Donald had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 5, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2008 - December 31, 2022
RAYMOND JAMES & ASSOCIATES, INC.
November 18, 2008 - December 31, 2022
RAYMOND JAMES & ASSOCIATES, INC.
January 28, 2000 - December 5, 2008
CITIGROUP GLOBAL MARKETS INC.
December 15, 1998 - December 5, 2008
CITIGROUP GLOBAL MARKETS INC.
November 14, 1997 - February 1, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 18, 1990 - December 2, 1997
UBS FINANCIAL SERVICES INC.
March 9, 1979 - March 24, 1983
LINCOLN FINANCIAL DISTRIBUTORS, INC.
May 8, 1978 - May 11, 1990
LEHMAN BROTHERS INC.
June 6, 1974 - June 15, 1978
THOMSON MCKINNON SECURITIES INC.
January 19, 1973 - January 10, 1974
AMERICAN EXPRESS FINANCIAL CORPORATION
January 19, 1973 - January 10, 1974
IDS MARKETING CORP
January 19, 1973 - January 10, 1974
IDS LIFE INSURANCE COMPANY
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 5
Date: 10/17/1981
Interest Rate Options ExaminationSeries 1
Date: 6/4/1974
Registered Representative ExaminationSeries 8
Date: 7/15/1988
General Securities Sales Supervisor Examination (Options Module & General Module)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.
Company Information
RAYMOND JAMES & ASSOCIATES, INC.
Financial AdvisorCRD#: 705TRUST BUT VERIFY
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