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Samuel Gross

Raymond James & Associates, INC.
41 Years of Experience
Chicago, IL
2 DisclosuresBroker
View SEC Summary
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Samuel Gross is a registered investment advisor at Raymond James & Associates, INC., based in Chicago, IL, with 41 years of industry experience. Samuel 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
5790 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

120 S Riverside Plaza, Suite 700, Chicago, IL, 60606

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History

Regulatory History (2)
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
July 2010
Closed-No Action
Customer Dispute
September 2003
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Raymond James & Associates, INC.
January 2015 - Present · 11 yrs 9 mos
Raymond James & Associates, INC.
January 2015 - Present · 11 yrs 9 mos
Raymond James & Associates, INC.Broker
January 2015 - Present · 11 yrs 9 mos
Previous Registrations
William Blair & Company L.L.C.
May 2004 - January 2015 · 10 yrs 8 mos
William Blair & Company L.L.C.Broker
May 2004 - January 2015 · 10 yrs 8 mos
Deutsche Bank Securities INC.
January 2001 - May 2004 · 3 yrs 4 mos
Deutsche Bank Securities INC.Broker
January 2001 - May 2004 · 3 yrs 4 mos
Db Alex. Brown LLCBroker
September 1997 - January 2001 · 3 yrs 4 mos
Alex. Brown & Sons IncorporatedBroker
August 1996 - September 1997 · 1 yr 1 mo
Legg Mason Wood Walker, IncorporatedBroker
November 1987 - August 1996 · 8 yrs 9 mos
Legg Mason Masten INC.Broker
October 1987 - November 1987 · 1 mo
Legg Mason Wood Walker, IncorporatedBroker
July 1985 - August 1996 · 11 yrs 1 mo
State Registrations32 states
AZCACOCTDCFLGAIAIDILINMAMDMIMNMONCNJNVNYOHORPASCTNTXUTVAWAWIWVWY
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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