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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

James Richard Harkins

Advisor at RAYMOND JAMES & ASSOCIATES, INC.

Las Vegas, NV

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Search this name across graphsid dfx:ria:8050dd4c-088e-4daf-7020-d15f62e67bcf

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Mar 26, 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: Mar 26, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Jan 24, 2013
First registration: Mar 26, 2008
Dual registered: yes, broker-dealer
Other names: Jim R Harkins|Jim Harkins|James Harkins|Austin Harkins|Baugh Harkins|James Richard Harkins|Jim R Harkins|Jim Richard Harkins
IAPD individual key: 2071920

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 29, 2024	n/a	yes	Las Vegas, NV	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 27, 2023	Oct 25, 2024	no	LAS VEGAS, NV	Previous registration
SCOTTRADE INVESTMENT MANAGEMENT	Former SEC adviser	May 1, 2017	Mar 9, 2018	no	SAINT LOUIS, MO	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Dec 12, 2013	Mar 10, 2016	no	FORT WORTH, TX	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Dec 12, 2013	Mar 10, 2016	no	Westlake, TX\|FORT WORTH, TX	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Mar 26, 2008	May 13, 2009	no	FORT WORTH, TX	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Mar 26, 2008	May 13, 2009	no	FORT WORTH, 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
LPL FINANCIAL LLC	RAYMOND JAMES & ASSOCIATES, INC.	Oct 25, 2024	Oct 29, 2024	4	Firm change	Ibd to ibd
SCOTTRADE INVESTMENT MANAGEMENT	LPL FINANCIAL LLC	Mar 9, 2018	Nov 27, 2023	2,089	Firm change after gap	Ibd to ibd
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	SCOTTRADE INVESTMENT MANAGEMENT	Mar 10, 2016	May 1, 2017	417	Firm change after gap	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Mar 10, 2016	Dec 12, 2013	-819	Channel change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	May 13, 2009	Dec 12, 2013	1,674	Channel change	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	May 13, 2009	Mar 26, 2008	-413	Channel change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
169988:6413:MO:2018-03-07	Mar 9, 2018	Nov 27, 2023	SAINT LOUIS, MO	Firm change after gap

Relationships

Registered with (5)

→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: current employment
Oct 29, 2024 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Nov 27, 2023 to Oct 25, 2024factForm ADV
→ SCOTTRADE INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
May 1, 2017 to Mar 9, 2018factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Dec 12, 2013 to Mar 10, 2016factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Dec 12, 2013 to Mar 10, 2016factForm ADV

Dated events

Occurred
Oct 25, 2024
Advisor changed firm
James Richard Harkins left Lpl Financial Llc for Raymond James & Associates, Inc. (registered 2024-10-29)
Form ADVobserved 6 days ago