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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

JAMES RICHARD GOSSETT

Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

CARBONDALE, IL

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Search this name across graphsid dfx:ria:d7ec24c7-7dc8-5325-22ee-234344f07fd4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 6, 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 31, 1991earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Oct 31, 1991
First registration: Jun 6, 2003
Dual registered: yes, broker-dealer
Other names: JAMES R GOSSETT|RICH GOSSETT|RICHIE GOSSETT
IAPD individual key: 2179865

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	Aug 21, 2015	n/a	yes	CARBONDALE, IL	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 30, 2009	Aug 26, 2015	no	GOLCONDA, IL\|VIENNA, IL\|MT VERNON, IL\|MARION, IL\|CARTERVILLE, IL\|FORT MILL, SC\|DESOTO, IL\|CARBONDALE, IL\|MURPHYSBORO, IL\|CARBONDALE, IL	Previous registration
INVEST FINANCIAL CORPORATION	Former SEC adviser	Jan 5, 2006	Dec 1, 2009	no	MURPHYSBORO, IL\|CARBONDALE, IL	Previous registration
ONB INVESTMENT SERVICES, INC.	n/a	Jan 4, 2005	Dec 1, 2005	no	CARBONDALE, IL	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jun 6, 2003	Jan 4, 2005	no	CARBONDALE, IL	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
LPL FINANCIAL LLC	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Aug 26, 2015	Aug 21, 2015	-5	Firm change	Other
INVEST FINANCIAL CORPORATION	LPL FINANCIAL LLC	Dec 1, 2009	Nov 30, 2009	-1	Firm change	Other
ONB INVESTMENT SERVICES, INC.	INVEST FINANCIAL CORPORATION	Dec 1, 2005	Jan 5, 2006	35	Firm change	Other
WELLS FARGO ADVISORS	ONB INVESTMENT SERVICES, INC.	Jan 4, 2005	Jan 4, 2005	0	Firm change	Other

Team moves

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

Team	Left	Joined	From	Kind
6413:149018:IL:2015-08-26	Aug 26, 2015	Aug 21, 2015	CARBONDALE, IL	Firm change

Relationships

Registered with (5)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: current employment
Aug 21, 2015 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Nov 30, 2009 to Aug 26, 2015factForm ADV
→ INVEST FINANCIAL CORPORATIONRegistered adviserregistration: previous registration
Jan 5, 2006 to Dec 1, 2009factForm ADV
→ ONB INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Jan 4, 2005 to Dec 1, 2005factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jun 6, 2003 to Jan 4, 2005factForm ADV

Dated events

No dated event names this entity yet.