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Gary Handler

Raymond James & Associates, INC.
36 Years of Experience
Beverly Hills, CA
9 DisclosuresBroker
View SEC Summary
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Gary Handler is a registered investment advisor at Raymond James & Associates, INC., based in Beverly Hills, CA, with 36 years of industry experience. Gary 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

9595 Wilshire Blvd., SUITE 801 and 200, Beverly Hills, CA, 90212

Get directions

History

Regulatory History (9)
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
August 2012
Settled
Customer Dispute
May 2010
Withdrawn
Customer Dispute
March 2009
Denied
Customer Dispute
July 2008
Settled
Customer Dispute
March 2008
Settled
Customer Dispute
December 1995
Settled
Customer Dispute
July 1994
Award / Judgment
Criminal
March 1985
Final Disposition
Criminal
July 1981
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Gary is an officer (Treasurer and Board Member) for the Astor Tower Condominium Association, a non-profit organization, since 2022. He spends a few hours per week on policy making and approving expenditures.

Employment History
Current Registrations
Raymond James & Associates, INC.
April 2014 - Present · 12 yrs 6 mos
Raymond James & Associates, INC.
March 2014 - Present · 12 yrs 7 mos
Raymond James & Associates, INC.Broker
March 2014 - Present · 12 yrs 7 mos
Previous Registrations
UBS Financial Services INC.
April 2007 - April 2014 · 7 yrs
UBS Financial Services INC.Broker
April 2007 - April 2014 · 7 yrs
RBC Dain Rauscher INC.
November 2005 - April 2007 · 1 yr 5 mos
RBC Dain Rauscher INC.Broker
June 2003 - April 2007 · 3 yrs 10 mos
Oppenheimer Asset Management INC.
April 2003 - June 2003 · 2 mos
Fahnestock & CO. INC.Broker
January 2003 - June 2003 · 5 mos
Fahnestock Asset Management
January 2003 - April 2003 · 3 mos
Cibc World Markets CORP.
July 1997 - January 2003 · 5 yrs 6 mos
Cibc World Markets CORP.Broker
March 1991 - January 2003 · 11 yrs 10 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
October 1989 - January 1991 · 1 yr 3 mos
State Registrations23 states
AZCACOCTDEFLGAHIILINMAMDMSNENJNVNYOHPARISCTXUT
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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