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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

Michael Lee Gardner

Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Manchester Village, VT

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Search this name across graphsid dfx:ria:c596bf94-a3c3-c6e9-8b8e-d5b9b8050306

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Sep 29, 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: Jan 1, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Aug 21, 2003
First registration: Sep 29, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 4675323

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 3, 2022	n/a	yes	Manchester Village, VT	Current employment
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Oct 6, 2014	Oct 12, 2022	no	Manchester Village, VT	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Aug 11, 2008	Oct 17, 2014	no	MANCHESTER, VT	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 1, 2008	Aug 12, 2008	no	MANCHESTER, VT	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Sep 29, 2003	Jan 1, 2008	no	MANCHESTER, VT\|MANCHESTER, VT\|ST. LOUIS, MO	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
RAYMOND JAMES & ASSOCIATES, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Oct 12, 2022	Oct 3, 2022	-9	Firm change	Ibd to ibd
RBC CAPITAL MARKETS, LLC	RAYMOND JAMES & ASSOCIATES, INC.	Oct 17, 2014	Oct 6, 2014	-11	Firm change	Ibd to ibd
WELLS FARGO ADVISORS	RBC CAPITAL MARKETS, LLC	Aug 12, 2008	Aug 11, 2008	-1	Firm change	Wirehouse to ibd
A. G. EDWARDS & SONS, INC.	WELLS FARGO ADVISORS	Jan 1, 2008	Jan 1, 2008	0	Bulk transfer	Other

Team moves

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

Team	Left	Joined	From	Kind
705:149018:VT:2022-10-12	Oct 12, 2022	Oct 3, 2022	MANCHESTER VILLAGE, VT	Firm change

Relationships

Registered with (5)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: current employment
Oct 3, 2022 to presentfactForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
Oct 6, 2014 to Oct 12, 2022factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Aug 11, 2008 to Oct 17, 2014factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 1, 2008 to Aug 12, 2008factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Sep 29, 2003 to Jan 1, 2008factForm ADV

Dated events

Occurred
Oct 12, 2022
Advisor changed firm
Michael Lee Gardner left Raymond James & Associates, Inc. for Raymond James Financial Services Advisors, Inc (registered 2022-10-03)
Form ADVobserved 5 days ago