Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
THEODORE LEON WHITE III
TED WHITE III, TEDDY WHITE III
CRD#: 2127249
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 BROWNWOOD PADDOCK SQUARE
2631 WEST TORCH LAKE DRIVE
THE VILLAGES, FL 32163
Registration History
19952000200520102015202020252 FIRMS1994 - 2007 (12 years)2 FIRMS2007 - 2019 (12 years)2 FIRMS2019 - Present (5 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1993 - 1994 (<1 year)BPRIMEVEST FINANCIAL SERVICES, INC. (CRD# 15340)1992 - 1993 (1 year)BJMC FINANCIAL CORPORATION (CRD# 16063)1992 - 1992 (<1 year)
Disclosure(s)
View By:
8/28/2007
Customer Dispute
Denied
4/18/2006
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Alabama 10/10/2019
B
Michigan 2/5/2025
B
Colorado 10/2/2019
B
New York 10/3/2019
B
Florida 10/2/2019
B
North Carolina 10/11/2019
IA
Florida 10/3/2019
B
Pennsylvania 3/6/2024
B
Idaho 2/5/2020
B
South Carolina 11/22/2019
IA
Idaho 2/5/2020
B
Wisconsin 12/4/2023
B
Kentucky 10/2/2019

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)
BROWNWOOD PADDOCK SQUARE 2631 WEST TORCH LAKE DRIVE, THE VILLAGES, FL 32163
Driggs, ID
Registered with this firm since 10/3/2019
B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
BROWNWOOD PADDOCK SQUARE 2631 WEST TORCH LAKE DRIVE, THE VILLAGES, FL 32163
Driggs, ID
Registered with this firm since 10/2/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/11/2007 - 10/09/2019 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) THE VILLAGES, FL
B
 05/31/2007 - 10/09/2019 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) THE VILLAGES, FL
IA
 10/21/1994 - 05/31/2007 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) OCALA, FL
B
 10/21/1994 - 05/31/2007 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) OCALA, FL
B
 12/17/1993 - 10/21/1994 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. LOUIS, MO
B
 10/09/1992 - 12/15/1993 PRIMEVEST FINANCIAL SERVICES, INC. (CRD#:15340) ST. CLOUD, MN
B
 01/06/1992 - 10/13/1992 JMC FINANCIAL CORPORATION (CRD#:16063) BOSTON, MA
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.