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Detailed Report
JAMES LEE BROWN JR
CRD#: 2765823
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 1100 Ridgeway Loop Road
MEMPHIS, TN 38120
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2013 (5 years)2 FIRMS2013 - Present (12 years)BPFIC SECURITIES CORPORATION (CRD# 34941)1998 - 2007 (9 years)BFLEET SECURITIES, INC. (CRD# 13071)1996 - 1998 (1 year)IAPFIC ADVISORS, INC. (CRD# 138007)2006 - 2007 (1 year)
License(s)

State Registrations

B
Tennessee 2/13/2013
IA
Tennessee 2/13/2013

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)
1100 Ridgeway Loop Road, MEMPHIS, TN 38120
Registered with this firm since 2/13/2013
B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
1100 Ridgeway Loop Road, MEMPHIS, TN 38120
Registered with this firm since 2/13/2013
Previous Registration(s)
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IA
 09/27/2007 - 02/13/2013 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) MEMPHIS, TN
B
 09/27/2007 - 02/13/2013 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) MEMPHIS, TN
IA
 04/13/2006 - 06/19/2007 PFIC ADVISORS, INC. (CRD#:138007) FRANKLIN, TN
B
 03/20/1998 - 06/19/2007 PFIC SECURITIES CORPORATION (CRD#:34941) FRANKLIN, TN
B
 12/09/1996 - 03/09/1998 FLEET SECURITIES, INC. (CRD#:13071) DALLAS, TX
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.