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RIA / WealthAdvisordual registered (broker-dealer)46 years in industry

ARTHUR LEO COLEMAN

Advisor at RAYMOND JAMES & ASSOCIATES, INC.

NEW YORK, NY | Larchmont, NY

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Search this name across graphsid dfx:ria:d7206997-7cd6-66b6-3da7-33d66e474d62

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 28, 2004 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 & 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: Jan 30, 1980earliest registration or exam on IAPD
Years in industry: 46derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Jan 30, 1980
First registration: Oct 28, 2004
Dual registered: yes, broker-dealer
Other names: ARTHUR LEO COLEMAN|ARTHUR LEO COLEMAN|ARTHUR LEO COLEMAN III|Arthur L Coleman
IAPD individual key: 847936

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 & ASSOCIATES, INC.	National bd RIA	Jul 20, 2021	n/a	yes	NEW YORK, NY\|Larchmont, NY	Current employment
WELLS FARGO ADVISORS	Wirehouse	Jan 14, 2013	Jul 7, 2021	no	NEW YORK, NY	Previous registration
ADVANCED EQUITIES, INC.	Former SEC adviser	Feb 1, 2010	Nov 19, 2012	no	NEW YORK, NY	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	May 29, 2007	Dec 17, 2009	no	NEW YORK, NY\|LONG ISLAND CITY, NY\|NEW YORK, NY	Previous registration
CITICORP INVESTMENT SERVICES	n/a	Oct 28, 2004	May 29, 2007	no	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
WELLS FARGO ADVISORS	RAYMOND JAMES & ASSOCIATES, INC.	Jul 7, 2021	Jul 20, 2021	13	Firm change	Wirehouse to ibd
ADVANCED EQUITIES, INC.	WELLS FARGO ADVISORS	Nov 19, 2012	Jan 14, 2013	56	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	ADVANCED EQUITIES, INC.	Dec 17, 2009	Feb 1, 2010	46	Firm change	Other
CITICORP INVESTMENT SERVICES	CITIGROUP GLOBAL MARKETS INC.	May 29, 2007	May 29, 2007	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
19616:705:NY:2021-07-07	Jul 7, 2021	Jul 20, 2021	NEW YORK, NY	Firm change

Relationships

Registered with (5)

→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: current employment
Jul 20, 2021 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 14, 2013 to Jul 7, 2021factForm ADV
→ ADVANCED EQUITIES, INC.Registered adviserregistration: previous registration
Feb 1, 2010 to Nov 19, 2012factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
May 29, 2007 to Dec 17, 2009factForm ADV
→ CITICORP INVESTMENT SERVICESRegistered adviserregistration: previous registration
Oct 28, 2004 to May 29, 2007factForm ADV

Dated events

No dated event names this entity yet.