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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

Daniel Aaron Friedman

Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

SAINT PETERSBURG, FL | Resaca, GA | ST. PETERSBURG, FL

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Search this name across graphsid dfx:ria:a0e93b5b-b3db-43a3-56a5-0c78c5fb32ed

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Aug 14, 2009 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: Jul 6, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 2
Registered states: 2
Exams: S65|S63
First exam: Jul 6, 1998
First registration: Aug 14, 2009
Dual registered: yes, broker-dealer
IAPD individual key: 3022786

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	Feb 12, 2024	n/a	yes	Resaca, GA\|SAINT PETERSBURG, FL	Current employment
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Jun 29, 2022	n/a	yes	Resaca, GA\|ST. PETERSBURG, FL	Current employment
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Nov 22, 2017	Jun 13, 2022	no	DES MOINES, IA\|Miramar, FL	Previous registration
CAPITAL ONE ADVISORS, LLC	Former SEC adviser	Jan 6, 2016	Aug 15, 2017	no	Wilmington, DE\|MCLEAN, VA	Previous registration
MORGAN STANLEY	Wirehouse	Sep 15, 2010	Nov 24, 2015	no	New York, NY\|Aventura, FL	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Aug 14, 2009	Sep 7, 2010	no	NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY	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
PRINCIPAL SECURITIES, INC.	RAYMOND JAMES & ASSOCIATES, INC.	Jun 13, 2022	Jun 29, 2022	16	Firm change	Ibd to ibd
CAPITAL ONE ADVISORS, LLC	PRINCIPAL SECURITIES, INC.	Aug 15, 2017	Nov 22, 2017	99	Firm change	Other
MORGAN STANLEY	CAPITAL ONE ADVISORS, LLC	Nov 24, 2015	Jan 6, 2016	43	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	MORGAN STANLEY	Sep 7, 2010	Sep 15, 2010	8	Firm change	Other

Relationships

Registered with (6)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: current employment
Feb 12, 2024 to presentfactForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: current employment
Jun 29, 2022 to presentfactForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Nov 22, 2017 to Jun 13, 2022factForm ADV
→ CAPITAL ONE ADVISORS, LLCRegistered adviserregistration: previous registration
Jan 6, 2016 to Aug 15, 2017factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Sep 15, 2010 to Nov 24, 2015factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Aug 14, 2009 to Sep 7, 2010factForm ADV

Dated events

Occurred
Jun 13, 2022
Advisor changed firm
Daniel Aaron Friedman left Principal Securities, Inc. for Raymond James & Associates, Inc. (registered 2022-06-29)
Form ADVobserved 6 days ago