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Wiley Gardner

Raymond James & Associates, INC.
43 Years of Experience
Mandeville, LA
3 DisclosuresBroker
View SEC Summary
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Wiley Gardner is a registered investment advisor at Raymond James & Associates, INC., based in Mandeville, LA, with 43 years of industry experience. Wiley is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1540 W Causeway Approach, Mandeville, LA, 70471

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2010
Settled
Customer Dispute
March 1999
Denied
Customer Dispute
December 1989
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Wiley manages an LLC owned by his Roth IRA, investing capital contributions in alternative assets. Wiley also owns and manages rental real estate, dedicating minimal time to both activities.

Employment History
Current Registrations
Raymond James & Associates, INC.
May 2015 - Present · 11 yrs 5 mos
Raymond James & Associates, INC.Broker
March 2015 - Present · 11 yrs 7 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
February 2006 - March 2015 · 9 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 2006 - March 2015 · 9 yrs 1 mo
Citigroup Global Markets INC.Broker
July 1993 - March 2006 · 12 yrs 8 mos
Lehman Brothers INC.Broker
February 1988 - July 1993 · 5 yrs 5 mos
E. F. Hutton & Company INCBroker
August 1986 - February 1988 · 1 yr 6 mos
Dean Witter Reynolds INC.Broker
September 1983 - August 1986 · 2 yrs 11 mos
State Registrations25 states
ALARCACOCTFLGAILKYLAMDMIMOMSNCNJNYOKORPASCTNTXVAWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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