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Detailed Report
BRIAN BARTHOLOMEW FANNING
CRD#: 1142041
IA
Investment Adviser
B
Broker
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 732 WEST MAIN STREET
LAKE GENEVA, WI 53147
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 732 W. MAIN STREET
LAKE GENEVA, WI 53147
Registration History
1980198519901995200020052010201520202025IARAYMOND JAMES FINANCIAL SERVIC... (CRD# 149018)2009 - Present (16 years)BRAYMOND JAMES FINANCIAL SERVIC... (CRD# 6694)2005 - Present (20 years)BRBC DAIN RAUSCHER INC. (CRD# 31194)1998 - 2005 (7 years)BDAIN RAUSCHER INCORPORATED (CRD# 7600)1997 - 1998 (<1 year)BPRINCIPAL FINANCIAL SECURITIES... (CRD# 260)1993 - 1997 (4 years)BDAIN BOSWORTH INCORPORATED (CRD# 7600)1992 - 1993 (<1 year)BKEMPER SECURITIES GROUP, INC. (CRD# 19616)1990 - 1992 (1 year)BBLUNT ELLIS & LOEWI INCORPORATED (CRD# 7580)1988 - 1990 (2 years)BBEAR, STEARNS & CO. INC. (CRD# 79)1986 - 1988 (2 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1983 - 1986 (2 years)IARAYMOND JAMES FINANCIAL SERVICES (CRD# 6694)2005 - 2009 (3 years)
Disclosure(s)
View By:
10/22/1987
Customer Dispute
Settled
4/24/1980
Criminal
Final Disposition
License(s)

State Registrations

B
Arizona 2/9/2009
B
Michigan 3/28/2005
B
California 3/28/2005
B
Missouri 4/26/2012
B
Colorado 7/11/2005
B
New Jersey 3/28/2005
B
Florida 10/14/2005
B
New York 3/19/2018
IA
Florida 9/26/2019
B
Tennessee 8/5/2022
B
Georgia 3/21/2013
B
Texas 1/7/2025
B
Idaho 1/8/2020
IA
Texas 1/7/2025
B
Illinois 3/28/2005
B
Virginia 5/1/2013
B
Indiana 1/21/2011
B
Wisconsin 3/28/2005
IA
Indiana 1/31/2013
IA
Wisconsin 5/26/2009
B
Maryland 12/1/2014
B
Wyoming 12/19/2005

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018)
732 WEST MAIN STREET, LAKE GENEVA, WI 53147
Naples, FL
Registered with this firm since 1/2/2009
B
RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694)
732 W. MAIN STREET, LAKE GENEVA, WI 53147
Naples, FL
Registered with this firm since 3/28/2005
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/14/2005 - 01/02/2009 RAYMOND JAMES FINANCIAL SERVICES (CRD#:6694) LAKE GENEVA, WI
B
 03/02/1998 - 04/12/2005 RBC DAIN RAUSCHER INC. (CRD#:31194) NEW YORK, NY
B
 05/12/1997 - 03/02/1998 DAIN RAUSCHER INCORPORATED (CRD#:7600)
B
 03/18/1993 - 05/16/1997 PRINCIPAL FINANCIAL SECURITIES,INC. (CRD#:260) DALLAS, TX
B
 05/07/1992 - 02/23/1993 DAIN BOSWORTH INCORPORATED (CRD#:7600)
B
 09/04/1990 - 05/11/1992 KEMPER SECURITIES GROUP, INC. (CRD#:19616) ST. LOUIS, MO
B
 08/18/1988 - 09/04/1990 BLUNT ELLIS & LOEWI INCORPORATED (CRD#:7580)
B
 01/13/1986 - 07/26/1988 BEAR, STEARNS & CO. INC. (CRD#:79)
B
 06/22/1983 - 01/10/1986 DEAN WITTER REYNOLDS INC. (CRD#:7556)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.