AM
Adam P. Mchenry
RAYMOND JAMES (USA) LTD.
MISSISSAUGA, ON, L5G 1H9
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CRD#: 6187118
AM
Professional summary
Adam Patrick Mchenry is a registered financial advisor currently at RAYMOND JAMES (USA) LTD. .
Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Adam has worked at 2 firms and has passed the Series 63, SIE and Series 37 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1) RAYMOND JAMES LTD ("RJL"), A REGISTERED INVESTMENT DEALER WITH CIRO, IS THE CANADIAN AFFILIATE AND PARENT COMPANY OF RAYMOND JAMES (USA) LTD. THE BUSINESS IS INVESTMENT RELATED. ADAM MCHENRY IS LOCATED AT SUITE 206 - 507 LAKESHORE ROAD EAST, MISSISSAUGA, ONTARIO, L5G 1H9 AND HAS BEEN EMPLOYED SINCE OCTOBER 19, 2020. HE IS A FULL TIME AGENT AND HIS TITLE WITH RJL IS FINANCIAL ADVISOR. HE DEVOTES 160 HOURS A MONTH TO THIS BUSINESS DURING BUSINESS AND TRADING HOURS. HIS JOB DUTIES INCLUDE SALES AND PORTFOLIO MANAGEMENT SERVICES. 2) RAYMOND JAMES FINANCIAL PLANNING LTD ("RJFP") IS THE INSURANCE AND ESTATE PLANNING DIVISION OF RAYMOND JAMES LTD. RJFP DEALS WITH INSURANCE SOLUTIONS, WEALTH MANAGEMENT, TAX AND ESTATE PLANNING AND BUSINESS CONTINUITY. ADAM MCHENRY IS LOCATED AT SUITE 206 - 507 LAKESHORE ROAD EAST, MISSISSAUGA, ONTARIO, L5G 1H9 AND HAS BEEN LICENSED WITH RJFP SINCE OCTOBER 19, 2020. HE IS A FULL-TIME AGENT. HE DEVOTES 10-20 HOURS A MONTH TO THIS BUSINESS. HIS JOB DUTIES INCLUDE LIFE INSURANCE SALES &/OR FINANCIAL PLANNING.
CRS (Client Relationship Summary) - RIA
Click below to view Adam Patrick Mchenry's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 11, 2021 - Present
RAYMOND JAMES (USA) LTD.
Office #1: 507 Lakeshore Road East Suite 206, Mississauga, On, L5G 1H9RIA
BD
CRD#: 25853
MISSISSAUGA, ON,
Past
August 22, 2013 - January 25, 2018
BMO NESBITT BURNS SECURITIES LTD.
BD
CRD#: 44057
TORONTO, ONTARIO,
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".
RJ
RAYMOND JAMES (USA) LTD.
GOEPEL MCDERMID (USA) INC. | RAYMOND JAMES LTD (USA), INC. | RAYMOND JAMES (USA) LTD. | RAYMOND JAMES (USA) LTD | GOEPEL, SHIELDS & PARTNERS USA, INC.
CRD#: 25853 / SEC#: 801-72137, 8-42071
RIA
Registered Investment Advisory firm - SEC (2/10/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(6/11/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 37
Date: 8/21/2013
Canada Module of the General Securities Registered Representative (With Options Questions)Current Firm
RJ
RAYMOND JAMES (USA) LTD.
GOEPEL MCDERMID (USA) INC. | RAYMOND JAMES LTD (USA), INC. | RAYMOND JAMES (USA) LTD. | RAYMOND JAMES (USA) LTD | GOEPEL, SHIELDS & PARTNERS USA, INC.
CRD#: 25853 / SEC#: 801-72137, 8-42071
RIA
Registered Investment Advisory firm - SEC (2/10/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
925 West Georgia Street - 2100, Vancouver, V6C3L2
Mailing Address
925 West Georgia Street - 2100, Vancouver, B.c., V6C 3L2
Phone number
(604) 659-8200
Established
Firm type
Corporation
Fiscal year end
September
Firm Size
Medium
# of Employees
175
SEC notice filing (31 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES LTD. | OWNER | |
| AYYUB, HARRIS | SR. MANAGER & CHIEF COMPLIANCE OFFICER (ACTING) | 7789868 |
| BALEZENTIS, PATRICIA | DIRECTOR | 2262711 |
| BARKO, SHAWN JOSEPH | DIRECTOR | 2690394 |
| BOYLE, SEAN PATRICK | DIRECTOR | 5517025 |
| LIM, CHRISTOPHER JOHN | CHIEF FINANCIAL OFFICER | 6090679 |
| MARCUS, STEVEN ROBERT | DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2820004 |
| SERBANOS, EFSTRATIOS MICHAEL | GENERAL COUNSEL | 2267667 |
Regulatory assets under management
| Total Number of Accounts | 4,869 |
| AUM (Assets Under Management) | $ 1,991,381,912 |
Disclosures
| Regulatory Event | 1 |
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.
