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.

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 19, 2001earliest registration or exam on IAPD

Years in industry

25derivedfrom the industry start date

Years at current firm

2derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

2

Exams

S66|S63

First exam

Mar 19, 2001

First registration

Mar 23, 2010

Dual registered

yes, broker-dealer

Other names

JAMES M UGOBONO DIAZ|JAMES MALCOM UGOBONO DIAZ|JAMES MALCOM UGOBONO

IAPD individual key

4032530

• Occurred

  Apr 24, 2024
  Advisor changed firm

  James Malcolm Ugobono left Ubs Financial Services Inc. for Raymond James Financial Services Advisors, Inc (registered 2024-04-04)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:e53f3afc-403d-75c1-05e2-99d77df380d8

First observed

Mar 23, 2010

Last observed

Sep 14, 2026 5 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.