Individual Firm
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Michael D Swain
CRD#: 1887658
IA
B
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 6075 Poplar Ave
Suite 335
Memphis, TN 38119
Suite 335
Memphis, TN 38119
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 6075 Poplar Ave
Suite 335
MEMPHIS, TN 38119
Suite 335
MEMPHIS, TN 38119
View By:
8/28/2020
Customer Dispute
Denied
State Registrations
B
Alabama 1/3/2008
B
Missouri 3/12/2003
B
Alaska 2/3/2023
B
Montana 5/13/2008
B
Arizona 2/14/2017
B
Nevada 8/4/2015
B
Arkansas 1/31/2003
B
New Hampshire 8/26/2021
B
California 10/9/2006
B
New Jersey 4/20/2009
B
Colorado 1/22/2009
B
New Mexico 2/25/2021
B
Connecticut 7/2/2018
B
New York 1/30/2013
B
Florida 1/31/2003
B
North Carolina 2/18/2003
B
Georgia 10/3/2006
B
Ohio 9/10/2007
B
Illinois 7/18/2023
B
Oklahoma 5/8/2014
B
Indiana 6/24/2011
B
Pennsylvania 3/4/2005
B
Iowa 4/9/2018
B
South Carolina 10/3/2006
B
Kansas 7/18/2023
B
Tennessee 1/31/2003
B
Kentucky 3/13/2012
IA
Tennessee 1/2/2009
B
Louisiana 12/7/2006
B
Texas 9/15/2005
B
Maryland 9/17/2020
IA
Texas 1/2/2009
B
Massachusetts 5/18/2022
B
Utah 12/8/2023
B
Michigan 2/5/2015
B
Virginia 8/7/2009
B
Minnesota 9/30/2024
B
Washington 3/17/2009
B
Mississippi 1/31/2003
B
Wisconsin 1/21/2022
SRO Registrations
B
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IA
Registered with this firm since 1/2/2009
B
Registered with this firm since 1/31/2003
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/31/2004 - 01/02/2009 | ST. PETERSBURG, FL | |
B | 11/01/1988 - 02/12/2003 | WORCESTER, MA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.