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Detailed Report
ROBERT CHARLES DAUM
CRD#: 2502121
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 880 CARILLON PARKWAY
ST. PETERSBURG, FL 33716
Registration History
19952000200520102015202020252 FIRMS2016 - 2017 (<1 year)2 FIRMS2017 - 2017 (<1 year)2 FIRMS2018 - Present (7 years)BDEAWM DISTRIBUTORS, INC. (CRD# 37306)2015 - 2016 (<1 year)BDEUTSCHE BANK SECURITIES INC. (CRD# 2525)2012 - 2015 (2 years)BWELLS FARGO SECURITIES, LLC (CRD# 126292)2010 - 2012 (2 years)BWACHOVIA INSURANCE SERVICES BR... (CRD# 35419)2009 - 2009 (<1 year)BWELLS FARGO INSURANCE SERVICES... (CRD# 41936)2005 - 2009 (4 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)1995 - 1996 (1 year)BDICKINSON & CO. (CRD# 689)1994 - 1994 (<1 year)IADEUTSCHE BANK SECURITIES INC. (CRD# 2525)2013 - 2015 (1 year)IASTRUCTURED ASSET INVESTORS, LLC (CRD# 131539)2011 - 2012 (1 year)IAWELLS FARGO INSURANCE SERVICES... (CRD# 41936)2008 - 2009 (1 year)
License(s)

State Registrations

B
Florida 1/24/2018
IA
Florida 1/25/2018

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)
880 CARILLON PARKWAY, ST. PETERSBURG, FL 33716
Registered with this firm since 1/25/2018
B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
880 CARILLON PARKWAY, ST. PETERSBURG, FL 33716
Registered with this firm since 1/24/2018
Previous Registration(s)
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IA
 03/30/2017 - 12/14/2017 KESTRA ADVISORY SERVICES, LLC (CRD#:283330) AUSTIN, TX
B
 03/28/2017 - 12/14/2017 KESTRA INVESTMENT SERVICES, LLC (CRD#:42046) AUSTIN, TX
IA
 11/29/2016 - 02/21/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) JACKSONVILLE, FL
B
 10/18/2016 - 02/21/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 02/26/2015 - 01/21/2016 DEAWM DISTRIBUTORS, INC. (CRD#:37306) JACKSONVILLE, FL
IA
 04/10/2013 - 02/27/2015 DEUTSCHE BANK SECURITIES INC. (CRD#:2525) JACKSONVILLE, FL
B
 06/22/2012 - 02/27/2015 DEUTSCHE BANK SECURITIES INC. (CRD#:2525) JACKSONVILLE, FL
IA
 03/07/2011 - 04/04/2012 STRUCTURED ASSET INVESTORS, LLC (CRD#:131539) CHARLOTTE, NC
B
 01/12/2010 - 04/04/2012 WELLS FARGO SECURITIES, LLC (CRD#:126292) CHARLOTTE, NC
IA
 10/28/2008 - 12/31/2009 WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS INC. (CRD#:41936) REDWOOD CITY, CA
B
 07/16/2009 - 12/31/2009 WACHOVIA INSURANCE SERVICES BROKER DEALER, INC. (CRD#:35419) PONTE VEDRA BEACH, FL
B
 11/09/2005 - 12/31/2009 WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC. (CRD#:41936) REDWOOD CITY, CA
B
 03/22/1995 - 07/25/1996 CHARLES SCHWAB & CO., INC. (CRD#:5393) WESTLAKE, TX
B
 06/20/1994 - 12/23/1994 DICKINSON & CO. (CRD#:689)
FINRA expelled the firm on 04/07/1998
DES MOINES, IA
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.