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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

James Lawrence Cady

Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Red Bank, NJ

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Search this name across graphsid dfx:ria:34e0221d-0efa-8954-0d18-36f88b16fb66

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: May 2, 2000 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 FINANCIAL SERVICES ADVISORS, INC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 6, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Sep 6, 1995
First registration: May 2, 2000
Dual registered: yes, broker-dealer
IAPD individual key: 2642223

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 FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Nov 18, 2025	n/a	yes	Red Bank, NJ	Current employment
ALDEN INVESTMENT GROUP	Independent wealth	Oct 3, 2022	Nov 14, 2025	no	WAYNE, PA\|Red Bank, NJ	Previous registration
CANTELLA & CO., INC.	Former SEC adviser	Sep 25, 2017	Sep 21, 2022	no	Red Bank, NJ\|Red Bank, NJ\|Malden, MA	Previous registration
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Dec 17, 2010	Sep 22, 2017	no	RED BANK, NJ	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Oct 5, 2005	Oct 22, 2010	no	RED BANK, NJ\|RED BANK, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	May 2, 2000	Oct 4, 2005	no	RED BANK, NJ	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
ALDEN INVESTMENT GROUP	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Nov 14, 2025	Nov 18, 2025	4	Firm change	RIA to ibd
CANTELLA & CO., INC.	ALDEN INVESTMENT GROUP	Sep 21, 2022	Oct 3, 2022	12	Firm change	Ibd to RIA
OPPENHEIMER & CO. INC.	CANTELLA & CO., INC.	Sep 22, 2017	Sep 25, 2017	3	Firm change	Other
WELLS FARGO ADVISORS	OPPENHEIMER & CO. INC.	Oct 22, 2010	Dec 17, 2010	56	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WELLS FARGO ADVISORS	Oct 4, 2005	Oct 5, 2005	1	Firm change	Wirehouse to wirehouse

Relationships

Registered with (6)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: current employment
Nov 18, 2025 to presentfactForm ADV
→ ALDEN INVESTMENT GROUPRegistered adviserregistration: previous registration
Oct 3, 2022 to Nov 14, 2025factForm ADV
→ CANTELLA & CO., INC.Registered adviserregistration: previous registration
Sep 25, 2017 to Sep 21, 2022factForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Dec 17, 2010 to Sep 22, 2017factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Oct 5, 2005 to Oct 22, 2010factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
May 2, 2000 to Oct 4, 2005factForm ADV

Dated events

Occurred
Nov 14, 2025
Advisor changed firm
James Lawrence Cady left Alden Investment Group for Raymond James Financial Services Advisors, Inc (registered 2025-11-18)
Form ADVobserved 6 days ago
Occurred
Sep 21, 2022
Advisor changed firm
James Lawrence Cady left Cantella & Co., Inc. for Alden Investment Group (registered 2022-10-03)
Form ADVobserved 6 days ago