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Frank Grossman

Raymond James & Associates, INC.
39 Years of Experience
St. Petersburg, FL
3 DisclosuresBroker
View SEC Summary
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Frank Grossman is a registered investment advisor at Raymond James & Associates, INC., based in St. Petersburg, FL, with 39 years of industry experience. Frank 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

St. Petersburg, FL

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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
September 2018
Denied
Customer Dispute
January 2012
Settled
Customer Dispute
August 2006
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Raymond James & Associates, INC.
March 2024 - Present · 2 yrs 7 mos
Raymond James & Associates, INC.
March 2024 - Present · 2 yrs 7 mos
Raymond James & Associates, INC.Broker
March 2024 - Present · 2 yrs 7 mos
Previous Registrations
U.S. Bancorp Investments, INC.Broker
January 2012 - March 2024 · 12 yrs 2 mos
U.S. Bancorp Investments, INC.
January 2012 - March 2024 · 12 yrs 2 mos
Fifth Third Securities, INC.
March 2009 - January 2012 · 2 yrs 10 mos
Fifth Third Securities, INC.Broker
March 2009 - January 2012 · 2 yrs 10 mos
Banc of America Investment Services, INC.
July 2006 - March 2009 · 2 yrs 8 mos
Banc of America Investment Services, INC.Broker
July 2006 - March 2009 · 2 yrs 8 mos
Citicorp Investment Services
January 2004 - July 2006 · 2 yrs 6 mos
Citicorp Investment ServicesBroker
January 2004 - July 2006 · 2 yrs 6 mos
Quick & Reilly, INC.
March 2003 - January 2004 · 10 mos
Quick & Reilly, INC.Broker
November 2002 - January 2004 · 1 yr 2 mos
A. G. Edwards & Sons, INC.
December 2001 - December 2002 · 1 yr
A. G. Edwards & Sons, INC.Broker
January 1997 - December 2002 · 5 yrs 11 mos
Prudential Securities IncorporatedBroker
May 1994 - January 1997 · 2 yrs 8 mos
Dean Witter Reynolds INC.Broker
July 1990 - May 1994 · 3 yrs 10 mos
Shearson Lehman Hutton INC.Broker
May 1987 - July 1990 · 3 yrs 2 mos
State Registrations6 states
FLILINMITNWA
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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