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DENNIS WAYNE BRIGGS
CRD#: 501735
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 2536 Countryside Blvd 6th Floor
Suite 601
Clearwater, FL 33763
Registration History
19801985199019952000200520102015202020252 FIRMS1996 - Present (28 years)BSMITH BARNEY INC. (CRD# 7059)1987 - 1996 (8 years)BE. F. HUTTON & COMPANY INC (CRD# 235)1980 - 1987 (6 years)
Disclosure(s)
View By:
6/25/2009
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 8/17/2011

B
Nebraska 4/22/1998

B
Arkansas 2/20/2018

B
New Jersey 4/23/2019

B
California 9/17/1996

B
New Mexico 6/12/2019

B
Colorado 9/18/1996

B
New York 9/2/2005

B
Connecticut 3/16/2022

B
North Carolina 9/20/1996

B
District of Columbia 5/16/2017

B
Ohio 9/17/1996

B
Florida 9/19/1996

B
Oregon 3/9/2004

IA
Florida 9/19/1996

B
Rhode Island 9/14/2023

B
Georgia 3/4/2013

B
South Carolina 12/17/1996

B
Illinois 3/30/2023

B
Tennessee 9/19/1996

B
Indiana 9/28/2012

B
Texas 9/18/1996

B
Maryland 11/19/2015

IA
Texas 9/18/1996

B
Massachusetts 9/26/1996

B
Utah 1/8/2019

B
Minnesota 1/2/2025

B
Virginia 2/4/2025

B
Mississippi 4/12/2021

B
West Virginia 7/8/2022

B
Missouri 4/24/2019

SRO Registrations

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
2536 Countryside Blvd 6th Floor Suite 601, Clearwater, FL 33763
Registered with this firm since 9/18/1996

B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
2536 Countryside Blvd 6th Floor Suite 601, Clearwater, FL 33763
Registered with this firm since 9/17/1996

Previous Registration(s)
th hidden textth hidden textNameLocation
B
10/19/1987 - 09/07/1996 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
11/20/1980 - 10/29/1987 E. F. HUTTON & COMPANY INC (CRD#:235)
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B
Broker
IA
Investment Adviser
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.