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.

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

Mar 29, 2001earliest registration or exam on IAPD

Years in industry

25derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

2

Exams

S63|S65

First exam

Mar 29, 2001

First registration

Feb 20, 2003

Dual registered

yes, broker-dealer

IAPD individual key

4343497

• Occurred

  May 20, 2026
  Advisor changed firm

  Michael Lee Rose left Stifel, Nicolaus & Company, Incorporated for Raymond James & Associates, Inc. (registered 2026-05-06)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:74eff89d-35a8-2095-24d1-d6dfc472ead1

First observed

Feb 20, 2003

Last observed

Sep 15, 2026 5 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.