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VANCE RICHARD BURKS III
(III) VANCE RICHARD BURKS, VANCE R BURKS, VANCE RICHARD III BURKS
CRD#: 1078871
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 5847 SAN FELIPE STREET
Ste 3900
HOUSTON, TX 77057
Registration History
1985199019952000200520102015202020252 FIRMS1998 - 2003 (4 years)2 FIRMS2003 - 2017 (13 years)2 FIRMS2017 - Present (7 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1995 - 1998 (3 years)BKIDDER, PEABODY & CO. INCORPORATED (CRD# 7613)1993 - 1995 (1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1987 - 1993 (6 years)BSMITH BARNEY, HARRIS UPHAM & C... (CRD# 7059)1982 - 1987 (4 years)
Disclosure(s)
View By:
7/26/1999
Customer Dispute
Settled
3/1/1990
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 8/13/2024

B
New Jersey 8/6/2024

B
California 4/28/2017

B
New Mexico 4/28/2017

B
Colorado 4/28/2017

B
New York 4/28/2017

B
Florida 4/28/2017

B
North Dakota 8/15/2022

B
Georgia 9/25/2018

B
Oklahoma 4/28/2017

B
Kentucky 4/28/2017

B
Pennsylvania 2/24/2020

B
Maryland 8/8/2024

B
Texas 4/28/2017

B
Michigan 4/28/2017

IA
Texas 4/28/2017

B
Minnesota 6/10/2021

B
Virginia 4/28/2017

B
Missouri 4/28/2017

SRO Registrations

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
5847 SAN FELIPE STREET Ste 3900, HOUSTON, TX 77057
Registered with this firm since 4/28/2017

B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
5847 SAN FELIPE STREET Ste 3900, HOUSTON, TX 77057
Registered with this firm since 4/28/2017

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/01/2003 - 05/01/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) HOUSTON, TX
B
07/01/2003 - 05/01/2017 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) HOUSTON, TX
IA
11/20/1998 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) HOUSTON, TX
B
11/17/1998 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
01/28/1995 - 11/12/1998 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
09/08/1993 - 01/28/1995 KIDDER, PEABODY & CO. INCORPORATED (CRD#:7613) NEW YORK, NY
B
05/04/1987 - 09/09/1993 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
11/24/1982 - 05/12/1987 SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (CRD#:7059)
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.