James R. Rowlette
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.
James Ralph Rowlette Jr., who also goes by James R Rowlette Jr, James Ralph Rowlette Jr, James Ralph Rowlette Jr., Jim Rowlette, Jimbo Rowlette, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1977. James had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 12, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2018 - December 31, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 19, 2018 - December 31, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 19, 2008 - January 29, 2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 15, 2008 - January 29, 2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 22, 2004 - February 21, 2008
FIFTH THIRD SECURITIES, INC.
August 2, 1996 - February 21, 2008
FIFTH THIRD SECURITIES, INC.
August 15, 1995 - August 7, 1996
FIRST UNION CAPITAL MARKETS CORP.
December 18, 1991 - August 17, 1995
FIFTH THIRD SECURITIES, INC.
May 20, 1985 - July 16, 1990
KINGLAND CAPITAL CORPORATION
October 3, 1977 - May 30, 1985
EDWARD JONES
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 12
Date: 1/26/1996
NYSE Branch Manager 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.
