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Detailed Report
ANDREW NEIL HALEY
ANDREW N HALEY
CRD#: 5798098
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 1100 Ridgeway Loop Road
MEMPHIS, TN 38120
Registration History
2010201220142016201820202022202420262 FIRMS2010 - 2011 (<1 year)2 FIRMS2011 - 2012 (<1 year)2 FIRMS2012 - Present (12 years)
License(s)

State Registrations

B
Tennessee 4/2/2012
IA
Tennessee 4/2/2012

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 4/2/2012
B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
1100 Ridgeway Loop Road, MEMPHIS, TN 38120
Registered with this firm since 4/2/2012
Previous Registration(s)
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IA
 06/21/2011 - 04/02/2012 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) MEMPHIS, TN
B
 06/21/2011 - 04/02/2012 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) MEMPHIS, TN
IA
 09/14/2010 - 03/28/2011 WADDELL & REED, INC. (CRD#:866) MEMPHIS, TN
B
 08/11/2010 - 03/28/2011 WADDELL & REED, INC. (CRD#:866) MEMPHIS, TN
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.