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Detailed Report
Geoffrey Alan Japchen
CRD#: 2112405
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 2003 S. Easton Road
Suite 100
Doylestown, PA 18901
Registration History
19952000200520102015202020252 FIRMS2000 - 2003 (2 years)2 FIRMS2003 - 2020 (17 years)2 FIRMS2020 - Present (4 years)BFIRST UNION SECURITIES, INC. (CRD# 19616)1999 - 2000 (1 year)BFIRST UNION CAPITAL MARKETS CORP. (CRD# 6124)1995 - 1999 (3 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1991 - 1995 (4 years)
Disclosure(s)
View By:
3/21/2003
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 10/8/2020
B
Maryland 9/24/2020
B
California 9/24/2020
B
New Jersey 9/24/2020
B
Colorado 9/24/2020
B
New York 9/24/2020
B
Delaware 9/24/2020
B
Pennsylvania 9/24/2020
B
Florida 9/24/2020
IA
Pennsylvania 9/24/2020
B
Iowa 9/24/2020
B
South Carolina 7/19/2022
B
Maine 9/24/2020

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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 & ASSOCIATES, INC. (CRD#:705)
2003 S. Easton Road Suite 100, Doylestown, PA 18901
Doylestown, PA
Registered with this firm since 9/24/2020
B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
2003 S. Easton Road Suite 100, Doylestown, PA 18901
Doylestown, PA
Registered with this firm since 9/24/2020
Previous Registration(s)
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IA
 07/01/2003 - 09/25/2020 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) DOYLESTOWN, PA
B
 07/01/2003 - 09/25/2020 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) DOYLESTOWN, PA
IA
 12/29/2000 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) WILMINGTON, DE
B
 12/01/2000 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 10/01/1999 - 12/07/2000 FIRST UNION SECURITIES, INC. (CRD#:19616) ST. LOUIS, MO
B
 11/17/1995 - 10/01/1999 FIRST UNION CAPITAL MARKETS CORP. (CRD#:6124) CHARLOTTE, NC
B
 01/08/1991 - 11/20/1995 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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.