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Investment Adviser Firm Summary

RAYMOND JAMES & ASSOCIATES, INC. (CRD# 705 / SEC# 8-10999, 801-10418)
Alternate Names: ASSET MANAGEMENT SERVICES , INVESTMENT ADVISORY SERVICES , RAYMOND JAMES & ASSOCIATES, INC. , RAYMOND JAMES CONSULTING SERVICES

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 12/19/1974

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 05/07/1991
Alaska 12/05/1985
Arizona 05/17/2005
Arkansas 01/20/1984
California 07/08/1997
Colorado 01/01/1999
Connecticut 02/24/1998
Delaware 06/13/2002
District of Columbia 01/28/1994
Florida 07/11/1983
Georgia 03/11/1998
Hawaii 04/03/1991
Idaho 01/08/1985
Illinois 04/09/1999
Indiana 10/24/1984
Iowa 01/01/1999
Kansas 09/08/1983
Kentucky 06/06/2006
Louisiana 10/15/2001
Maine 06/17/1994
Maryland 05/27/1992
Massachusetts 09/13/2013
Michigan 12/17/1999
Minnesota 10/10/1984
Mississippi 02/12/1998
Missouri 09/23/1987
Montana 02/13/1998
Nebraska 03/08/1999
Nevada 02/12/1998
New Hampshire 05/16/2001
New Jersey 01/02/2003
New Mexico 03/05/1984
New York 01/01/1994
North Carolina 05/15/2001
North Dakota 02/08/1994
Ohio 10/18/1999
Oklahoma 01/01/1998
Oregon 09/13/2013
Pennsylvania 09/13/2013
Puerto Rico 12/04/1984
Rhode Island 01/10/1997
South Carolina 09/23/2003
South Dakota 01/28/1994
Tennessee 05/25/2000
Texas 08/08/1983
Utah 11/04/1993
Vermont 01/09/1995
Virgin Islands 04/11/2005
Virginia 06/06/1994
Washington 04/30/1987
West Virginia 10/15/1993
Wisconsin 10/07/1993

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser