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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

Emma R Smith

Advisor at RAYMOND JAMES & ASSOCIATES, INC.

ATLANTA, GA

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Search this name across graphsid dfx:ria:2a64d0bc-b446-c3fc-3b9a-268142fd51b8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Oct 15, 2018 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RAYMOND JAMES & ASSOCIATES, INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Oct 15, 2018
First registration: Oct 15, 2018
Dual registered: yes, broker-dealer
Other names: Emma Rose Smith
IAPD individual key: 6913209

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Oct 8, 2025	n/a	yes	ATLANTA, GA	Current employment
JOHN HANCOCK INVESTMENT MANAGEMENT LLC	Asset manager	Sep 22, 2021	Aug 7, 2025	no	Tempe, AZ\|BOSTON, MA\|Atlanta, GA\|Sandy Springs, GA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 20, 2020	Sep 7, 2021	no	DALLAS, TX\|NEW YORK, NY	Previous registration
MORGAN STANLEY	Wirehouse	Jul 23, 2019	Apr 27, 2020	no	Plano, TX	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Oct 15, 2018	Jul 12, 2019	no	Westlake, TX\|Fort Worth, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
JOHN HANCOCK INVESTMENT MANAGEMENT LLC	RAYMOND JAMES & ASSOCIATES, INC.	Aug 7, 2025	Oct 8, 2025	62	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	JOHN HANCOCK INVESTMENT MANAGEMENT LLC	Sep 7, 2021	Sep 22, 2021	15	Firm change	Other
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Apr 27, 2020	Apr 20, 2020	-7	Firm change	Wirehouse to wirehouse
CHARLES SCHWAB & CO., INC.	MORGAN STANLEY	Jul 12, 2019	Jul 23, 2019	11	Firm change	Ibd to wirehouse

Relationships

Registered with (5)

→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: current employment
Oct 8, 2025 to presentfactForm ADV
→ JOHN HANCOCK INVESTMENT MANAGEMENT LLCRegistered adviserregistration: previous registration
Sep 22, 2021 to Aug 7, 2025factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Apr 20, 2020 to Sep 7, 2021factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jul 23, 2019 to Apr 27, 2020factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Oct 15, 2018 to Jul 12, 2019factForm ADV

Dated events

Occurred
Aug 7, 2025
Advisor changed firm
Emma R Smith left John Hancock Investment Management Llc for Raymond James & Associates, Inc. (registered 2025-10-08)
Form ADVobserved 5 days ago