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Harmon Dickson

Raymond James & Associates, INC.
39 Years of Experience
Austin, TX
1 DisclosureBroker
View SEC Summary
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Harmon Dickson is a registered investment advisor at Raymond James & Associates, INC., based in Austin, TX, with 39 years of industry experience. Harmon 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

6034 West Courtyard Drive, Suite 305, Austin, TX, 78730

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History

Regulatory History (1)
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
June 2011
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Raymond James & Associates, INC.Broker
June 2016 - Present · 10 yrs 4 mos
Raymond James & Associates, INC.
June 2016 - Present · 10 yrs 4 mos
Previous Registrations
J.P. Morgan Securities LLC
April 2013 - June 2016 · 3 yrs 2 mos
J.P. Morgan Securities LLCBroker
April 2013 - June 2016 · 3 yrs 2 mos
Morgan Stanley
October 2010 - February 2013 · 2 yrs 4 mos
Morgan StanleyBroker
September 2010 - February 2013 · 2 yrs 5 mos
Chase Investment Services CORP.
September 2009 - November 2009 · 2 mos
Chase Investment Services CORP.Broker
September 2009 - November 2009 · 2 mos
Wells Fargo Advisors, LLC
July 2003 - May 2009 · 5 yrs 10 mos
Wachovia Securities, LLCBroker
July 2003 - May 2009 · 5 yrs 10 mos
Prudential Securities Incorporated
June 1996 - July 2003 · 7 yrs 1 mo
Prudential Securities IncorporatedBroker
December 1993 - July 2003 · 9 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 1985 - December 1993 · 8 yrs 2 mos
State Registrations52 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTWAWIWVWY
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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