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

Aug 10, 1993earliest registration or exam on IAPD

Years in industry

33derivedfrom the industry start date

Years at current firm

1derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

2

Exams

S63|S65

First exam

Aug 10, 1993

First registration

Sep 6, 2000

Dual registered

yes, broker-dealer

Other names

SANAE ANNE NORITAKE|SANAE ANNE GARCIA|SANAE A. ANNE GARCIA

IAPD individual key

2003476

• Occurred

  Jun 9, 2025
  Advisor changed firm

  Sanae Anne Garcia left Ubs Financial Services Inc. for Raymond James & Associates, Inc. (registered 2025-05-20)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:94dffadf-00d0-22cc-b9d7-440ab14dbc18

First observed

Sep 6, 2000

Last observed

Sep 14, 2026 6 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.