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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

DOMINIC JOSEPH GIOVANNAZZO

Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

WESTLAKE, OH

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Search this name across graphsid dfx:ria:d0b99d2e-a5f3-b471-6602-b5f1288412ce

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 31, 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: Mar 30, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Mar 30, 2009
First registration: Mar 31, 2009
Dual registered: yes, broker-dealer
Other names: DOMINIC J GIOVANNAZZO
IAPD individual key: 4481863

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	Sep 25, 2013	n/a	yes	WESTLAKE, OH	Current employment
ADVANTAGE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Aug 22, 2012	Sep 19, 2013	no	ELYRIA, OH	Previous registration
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Former SEC adviser	Oct 4, 2010	Jul 31, 2012	no	ELYRIA, OH	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Mar 31, 2009	Nov 6, 2009	no	INDEPENDENCE, OH	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
ADVANTAGE INVESTMENT MANAGEMENT, LLC	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Sep 19, 2013	Sep 25, 2013	6	Firm change	Other
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	ADVANTAGE INVESTMENT MANAGEMENT, LLC	Jul 31, 2012	Aug 22, 2012	22	Firm change	Other
EQUITABLE ADVISORS, LLC	NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Nov 6, 2009	Oct 4, 2010	332	Firm change	Other

Relationships

Registered with (4)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: current employment
Sep 25, 2013 to presentfactForm ADV
→ ADVANTAGE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 22, 2012 to Sep 19, 2013factForm ADV
→ NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)Registered adviserregistration: previous registration
Oct 4, 2010 to Jul 31, 2012factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Mar 31, 2009 to Nov 6, 2009factForm ADV

Dated events

No dated event names this entity yet.