Individual Firm
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GARY DAVID SIEVEWRIGHT
CRD#: 1814846
IA
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RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 20800 Swenson Drive
Suite 325
Waukesha, WI 53186
Suite 325
Waukesha, WI 53186
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7/27/1993
Customer Dispute
Settled
State Registrations
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Alabama 4/17/2018
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Nebraska 3/20/2023
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Alaska 5/10/2024
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Nevada 9/29/2016
B
Arizona 1/13/2016
B
New Hampshire 7/23/2018
B
Arkansas 4/18/2018
B
New Jersey 1/6/2016
B
California 1/5/2016
B
New Mexico 9/18/2019
B
Colorado 6/1/2015
B
New York 1/13/2016
B
Connecticut 1/6/2016
B
North Carolina 9/26/2016
B
Delaware 9/18/2019
B
North Dakota 4/20/2020
B
District of Columbia 9/19/2019
B
Ohio 4/17/2018
B
Florida 4/20/2015
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Oklahoma 4/19/2018
B
Georgia 1/6/2016
B
Oregon 8/20/2018
B
Hawaii 5/14/2024
B
Pennsylvania 2/3/2017
B
Idaho 10/9/2019
B
Puerto Rico 9/26/2016
B
Illinois 1/6/2016
B
Rhode Island 5/9/2024
B
Indiana 4/28/2015
B
South Carolina 1/6/2016
B
Iowa 8/28/2019
B
South Dakota 2/26/2018
B
Kansas 1/12/2016
B
Tennessee 6/8/2017
B
Kentucky 3/1/2017
B
Texas 1/7/2016
B
Louisiana 12/13/2017
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Texas 2/6/2020
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Maine 11/2/2016
B
Utah 9/21/2016
B
Maryland 2/6/2017
B
Vermont 9/22/2016
B
Massachusetts 9/16/2016
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Virginia 1/5/2016
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Michigan 4/20/2015
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Washington 2/21/2018
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Minnesota 1/11/2016
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West Virginia 9/27/2016
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Mississippi 8/22/2018
B
Wisconsin 4/20/2015
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Missouri 2/21/2018
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Wisconsin 4/20/2015
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Montana 4/20/2015
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Wyoming 10/18/2018
SRO Registrations
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IA
Registered with this firm since 4/20/2015
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Registered with this firm since 4/20/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/28/2006 - 04/21/2015 | MILWAUKEE, WI | |
B | 07/01/2003 - 04/21/2015 | MILWAUKEE, WI | |
B | 12/10/1997 - 07/01/2003 | NEW YORK, NY | |
B | 11/02/1988 - 12/01/1997 | NEW YORK, NY | |
B | 04/12/1988 - 10/18/1988 | ||
B | 04/12/1988 - 10/18/1988 |
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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.
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