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Detailed Report
RICHARD EUGENE PAYNE
CRD#: 2258148
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 Dearby, FL
Registration History
19952000200520102015202020252 FIRMS2009 - 2010 (<1 year)2 FIRMS2010 - 2012 (2 years)2 FIRMS2013 - 2014 (<1 year)2 FIRMS2014 - 2018 (4 years)2 FIRMS2018 - Present (6 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)2003 - 2009 (5 years)BU.S. GLOBAL BROKERAGE, INC. (CRD# 44721)2001 - 2002 (<1 year)BSALOMON SMITH BARNEY INC. (CRD# 7059)2001 - 2001 (<1 year)BCITICORP INVESTMENT SERVICES (CRD# 23988)1994 - 2001 (6 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1992 - 1994 (1 year)IABANC OF AMERICA INVESTMENT SER... (CRD# 16361)2004 - 2009 (5 years)
License(s)

State Registrations

B
Florida 3/26/2019
B
Texas 8/5/2024
IA
Florida 3/27/2019
IA
Texas 8/5/2024

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)
Dearby, FL
Registered with this firm since 7/3/2018
B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
Dearby, FL
Registered with this firm since 7/3/2018
Previous Registration(s)
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IA
 04/15/2014 - 07/06/2018 MML INVESTORS SERVICES, LLC (CRD#:10409) RALEIGH, NC
B
 02/10/2014 - 07/06/2018 MML INVESTORS SERVICES, LLC (CRD#:10409) RALEIGH, NC
IA
 07/10/2013 - 01/10/2014 PARK AVENUE SECURITIES LLC (CRD#:46173) LAS VEGAS, NV
B
 06/04/2013 - 01/10/2014 PARK AVENUE SECURITIES LLC (CRD#:46173) LAS VEGAS, NV
IA
 05/14/2010 - 12/19/2012 MML INVESTORS SERVICES, LLC (CRD#:10409) LAS VEGAS, NV
B
 03/17/2010 - 12/19/2012 MML INVESTORS SERVICES, LLC (CRD#:10409) LAS VEGAS, NV
IA
 05/22/2009 - 01/20/2010 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) BEE CAVE, TX
B
 05/11/2009 - 01/20/2010 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) BEE CAVE, TX
IA
 02/03/2004 - 04/14/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) AUSTIN, TX
B
 05/09/2003 - 04/14/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) AUSTIN, TX
B
 12/17/2001 - 08/12/2002 U.S. GLOBAL BROKERAGE, INC. (CRD#:44721) SAN ANTONIO, TX
B
 03/12/2001 - 12/11/2001 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 02/22/1994 - 01/19/2001 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
B
 08/24/1992 - 01/14/1994 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
For additional information about investment advisers or broker-dealers, please visit
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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
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.