DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

ROBERT CHARLES DAUM

Advisor at RAYMOND JAMES & ASSOCIATES, INC.

ST. PETERSBURG, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:540b1e76-98dd-43e7-699c-79dc521484b8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Oct 28, 2008 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: Nov 11, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Nov 11, 2005
First registration: Oct 28, 2008
Dual registered: yes, broker-dealer
IAPD individual key: 2502121

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	Jan 25, 2018	n/a	yes	ST. PETERSBURG, FL	Current employment
KESTRA ADVISORY SERVICES, LLC	Bd affiliated wealth	Mar 30, 2017	Dec 14, 2017	no	AUSTIN, TX	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 29, 2016	Feb 21, 2017	no	JACKSONVILLE, FL\|NEW YORK, NY	Previous registration
DEUTSCHE BANK SECURITIES INC.	No RAUM reported	Apr 10, 2013	Feb 27, 2015	no	JACKSONVILLE, FL	Previous registration
STRUCTURED ASSET INVESTORS, LLC	Former SEC adviser	Mar 7, 2011	Apr 4, 2012	no	NEW YORK, NY	Previous registration
WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.	n/a	Oct 28, 2008	Dec 31, 2009	no	WALNUT CREEK, CA\|TORRANCE, CA\|REDWOOD CITY, CA\|REDWOOD CITY, CA	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
KESTRA ADVISORY SERVICES, LLC	RAYMOND JAMES & ASSOCIATES, INC.	Dec 14, 2017	Jan 25, 2018	42	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	KESTRA ADVISORY SERVICES, LLC	Feb 21, 2017	Mar 30, 2017	37	Firm change	Other
DEUTSCHE BANK SECURITIES INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Feb 27, 2015	Nov 29, 2016	641	Firm change after gap	Other
STRUCTURED ASSET INVESTORS, LLC	DEUTSCHE BANK SECURITIES INC.	Apr 4, 2012	Apr 10, 2013	371	Firm change	Other
WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.	STRUCTURED ASSET INVESTORS, LLC	Dec 31, 2009	Mar 7, 2011	431	Firm change after gap	Other

Relationships

Registered with (6)

→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: current employment
Jan 25, 2018 to presentfactForm ADV
→ KESTRA ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Mar 30, 2017 to Dec 14, 2017factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Nov 29, 2016 to Feb 21, 2017factForm ADV
→ DEUTSCHE BANK SECURITIES INC.Registered adviserregistration: previous registration
Apr 10, 2013 to Feb 27, 2015factForm ADV
→ STRUCTURED ASSET INVESTORS, LLCRegistered adviserregistration: previous registration
Mar 7, 2011 to Apr 4, 2012factForm ADV
→ WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.Registered adviserregistration: previous registration
Oct 28, 2008 to Dec 31, 2009factForm ADV

Dated events

No dated event names this entity yet.