DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)45 years in industry

JAMES ALLEN DICKSON

Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Alpharetta, GA

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:a962e8ae-7bda-b3dc-c4b9-8d5b81fd76cf

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 20, 2003 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: Oct 23, 1980earliest registration or exam on IAPD
Years in industry: 45derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Oct 23, 1980
First registration: Aug 20, 2003
Dual registered: yes, broker-dealer
Other names: JIM DICKSON
IAPD individual key: 67493

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	Oct 22, 2009	n/a	yes	Alpharetta, GA	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 5, 2009	Oct 16, 2009	no	ATLANTA, GA	Previous registration
AMERIPRISE ADVISOR SERVICES, INC.	n/a	Mar 2, 2007	Oct 5, 2009	no	DETROIT, MI\|ATLANTA, GA	Previous registration
MORGAN STANLEY DW INC.	n/a	Aug 20, 2003	Feb 28, 2006	no	ALPHARETTA, GA	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
AMERIPRISE FINANCIAL SERVICES, LLC	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Oct 16, 2009	Oct 22, 2009	6	Firm change	Other
AMERIPRISE ADVISOR SERVICES, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Oct 5, 2009	Oct 5, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	AMERIPRISE ADVISOR SERVICES, INC.	Feb 28, 2006	Mar 2, 2007	367	Firm change	Other

Relationships

Registered with (4)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: current employment
Oct 22, 2009 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 5, 2009 to Oct 16, 2009factForm ADV
→ AMERIPRISE ADVISOR SERVICES, INC.Registered adviserregistration: previous registration
Mar 2, 2007 to Oct 5, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Aug 20, 2003 to Feb 28, 2006factForm ADV

Dated events

No dated event names this entity yet.