Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Corey P Behm
CRD#: 7332634
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 100 SAINT PAUL STREET
SUITE 600
DENVER, CO 80206
Registration History
2021202220232024202520262 FIRMS2021 - 2023 (2 years)2 FIRMS2023 - Present (1 year)BE*TRADE SECURITIES LLC (CRD# 29106)2022 - 2023 (<1 year)
License(s)

State Registrations

B
Alabama 7/13/2023
B
Montana 7/13/2023
B
Alaska 7/13/2023
B
Nebraska 7/13/2023
B
Arizona 7/13/2023
B
Nevada 7/13/2023
B
Arkansas 7/13/2023
B
New Hampshire 7/13/2023
B
California 7/13/2023
B
New Jersey 7/13/2023
B
Colorado 7/12/2023
B
New Mexico 7/13/2023
IA
Colorado 7/13/2023
B
New York 7/13/2023
B
Connecticut 7/13/2023
B
North Carolina 7/14/2023
B
Delaware 7/13/2023
B
North Dakota 7/13/2023
B
District of Columbia 7/13/2023
B
Ohio 7/13/2023
B
Florida 7/13/2023
B
Oklahoma 7/13/2023
B
Georgia 7/13/2023
B
Oregon 7/13/2023
B
Hawaii 7/13/2023
B
Pennsylvania 7/13/2023
B
Idaho 7/13/2023
B
Puerto Rico 7/13/2023
B
Illinois 7/13/2023
B
Rhode Island 7/13/2023
B
Indiana 7/13/2023
B
South Carolina 7/13/2023
B
Iowa 7/13/2023
B
South Dakota 7/13/2023
B
Kansas 7/13/2023
B
Tennessee 7/13/2023
B
Kentucky 7/13/2023
B
Texas 7/13/2023
B
Louisiana 7/13/2023
B
Utah 7/13/2023
B
Maine 7/13/2023
B
Vermont 7/13/2023
B
Maryland 7/13/2023
B
Virgin Islands 7/13/2023
B
Massachusetts 7/13/2023
B
Virginia 7/13/2023
B
Michigan 7/13/2023
B
Washington 7/13/2023
B
Minnesota 7/13/2023
B
West Virginia 7/13/2023
B
Mississippi 7/13/2023
B
Wisconsin 7/13/2023
B
Missouri 7/13/2023
B
Wyoming 7/13/2023

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)
100 SAINT PAUL STREET SUITE 600, DENVER, CO 80206
Registered with this firm since 7/13/2023
B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
100 SAINT PAUL STREET SUITE 600, DENVER, CO 80206
Registered with this firm since 7/12/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/21/2021 - 06/29/2023 MORGAN STANLEY (CRD#:149777) Columbus, OH
B
 10/03/2022 - 06/29/2023 E*TRADE SECURITIES LLC (CRD#:29106) Columbus, OH
B
 04/17/2021 - 06/29/2023 MORGAN STANLEY (CRD#:149777) Columbus, OH
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.