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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

SARA MARIE JONES

Advisor at RAYMOND JAMES & ASSOCIATES, INC.

Fort Myers, FL

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Search this name across graphsid dfx:ria:fc3e37ab-72b0-3be4-fec1-0d3e4d4dce53

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jan 30, 2007 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: Oct 19, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Oct 19, 2006
First registration: Jan 30, 2007
Dual registered: yes, broker-dealer
Other names: SARA M STEINBACH|SARA MARIE STEINBACH
IAPD individual key: 2852037

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	Nov 13, 2023	n/a	yes	Fort Myers, FL	Current employment
MORGAN STANLEY	Wirehouse	Aug 6, 2021	Nov 15, 2023	no	Naples, FL\|Fort Myers, FL	Previous registration
FIFTH THIRD SECURITIES, INC.	Bd affiliated wealth	Jun 1, 2015	Aug 9, 2021	no	CAPE CORAL, FL\|NAPLES, FL\|NAPLES, FL\|MARCO ISLAND, FL	Previous registration
STERNE AGEE ASSET MANAGEMENT, INC.	Former SEC adviser	Feb 1, 2012	Apr 8, 2014	no	TAMPA, FL\|TAMPA, FL	Previous registration
ANDERSON & STRUDWICK, INCORPORATED	Former SEC adviser	Apr 26, 2010	Dec 12, 2011	no	TAMPA, FL	Previous registration
GUNNALLEN FINANCIAL, INC	n/a	Jan 30, 2007	Mar 30, 2010	no	TAMPA, FL\|TAMPA, FL\|TAMPA, FL\|TAMPA, FL\|RUSSELLVILLE, KY\|TAMPA, FL	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
MORGAN STANLEY	RAYMOND JAMES & ASSOCIATES, INC.	Nov 15, 2023	Nov 13, 2023	-2	Firm change	Wirehouse to ibd
FIFTH THIRD SECURITIES, INC.	MORGAN STANLEY	Aug 9, 2021	Aug 6, 2021	-3	Firm change	Ibd to wirehouse
STERNE AGEE ASSET MANAGEMENT, INC.	FIFTH THIRD SECURITIES, INC.	Apr 8, 2014	Jun 1, 2015	419	Firm change after gap	Other
ANDERSON & STRUDWICK, INCORPORATED	STERNE AGEE ASSET MANAGEMENT, INC.	Dec 12, 2011	Feb 1, 2012	51	Firm change	Other
GUNNALLEN FINANCIAL, INC	ANDERSON & STRUDWICK, INCORPORATED	Mar 30, 2010	Apr 26, 2010	27	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
149777:705:FL:2023-11-06	Nov 15, 2023	Nov 13, 2023	FORT MYERS, FL	Firm change
628:149777:FL:2021-08-09	Aug 9, 2021	Aug 6, 2021	MARCO ISLAND, FL	Firm change

Relationships

Registered with (6)

→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: current employment
Nov 13, 2023 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Aug 6, 2021 to Nov 15, 2023factForm ADV
→ FIFTH THIRD SECURITIES, INC.Registered adviserregistration: previous registration
Jun 1, 2015 to Aug 9, 2021factForm ADV
→ STERNE AGEE ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Feb 1, 2012 to Apr 8, 2014factForm ADV
→ ANDERSON & STRUDWICK, INCORPORATEDRegistered adviserregistration: previous registration
Apr 26, 2010 to Dec 12, 2011factForm ADV
→ GUNNALLEN FINANCIAL, INCRegistered adviserregistration: previous registration
Jan 30, 2007 to Mar 30, 2010factForm ADV

Dated events

Occurred
Nov 15, 2023
Advisor changed firm
Sara Marie Jones left Morgan Stanley for Raymond James & Associates, Inc. (registered 2023-11-13)
Form ADVobserved 5 days ago