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DOMINIC EDWARD LIUZZI III
DOMINIC LIUZZI
CRD#: 1665227
IA
Investment Adviser
B
Broker
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 23312 MADERO ROAD
SUITE H
MISSION VIEJO, CA 92691
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 27281 LAS RAMBLAS
SUITE 200
MISSION VIEJO, CA 92691
Registration History
19901995200020052010201520202025IARAYMOND JAMES FINANCIAL SERVIC... (CRD# 149018)2009 - Present (16 years)BRAYMOND JAMES FINANCIAL SERVIC... (CRD# 6694)2001 - Present (23 years)BFIRST UNION SECURITIES, INC. (CRD# 19616)1992 - 2002 (9 years)BLEHMAN BROTHERS INC. (CRD# 7506)1989 - 1992 (3 years)BDREXEL BURNHAM LAMBERT INCORPO... (CRD# 7323)1987 - 1989 (1 year)IARAYMOND JAMES FINANCIAL SERVICES (CRD# 6694)2002 - 2009 (6 years)
Disclosure(s)
View By:
8/9/2005
Customer Dispute
Settled
7/11/2000
Customer Dispute
Denied
License(s)

State Registrations

B
California 12/7/2001

B
New Jersey 12/7/2001

IA
California 1/2/2009

B
Oregon 12/7/2001

B
Colorado 12/7/2001

B
Washington 5/2/2003

SRO Registrations

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)
23312 MADERO ROAD SUITE H, MISSION VIEJO, CA 92691
Registered with this firm since 1/2/2009

B
RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694)
27281 LAS RAMBLAS SUITE 200, MISSION VIEJO, CA 92691
Registered with this firm since 12/7/2001

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
02/08/2002 - 01/02/2009 RAYMOND JAMES FINANCIAL SERVICES (CRD#:6694) ST. PETERSBURG, FL
B
05/11/1992 - 01/07/2002 FIRST UNION SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
B
03/01/1989 - 06/03/1992 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
07/21/1987 - 04/26/1989 DREXEL BURNHAM LAMBERT INCORPORATED (CRD#:7323)
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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.