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CFP

Stanwood Sweetser

Raymond James & Associates, INC.
34 Years of Experience
Sarasota, FL
4 DisclosuresBroker
View SEC Summary
View SEC Summary

Stanwood Sweetser is a CFP-designated registered investment advisor at Raymond James & Associates, INC., based in Sarasota, FL, with 34 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 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
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B

Fee Structure

Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
View Full SEC Brochure

Location

2 N. Tamiami Trail, Suite 804, Sarasota, FL, 34236

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History

Regulatory History (4)
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 2012
Denied
Customer Dispute
December 2011
Denied
Customer Dispute
May 2011
Denied
Customer Dispute
October 2008
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Stanwood is a 30% owner of Mahi Towers, LLC, a real estate company buying condo units for resale, since 2011. This activity is not investment-related.

Employment History
Current Registrations
Raymond James & Associates, INC.
September 2019 - Present · 6 yrs 8 mos
Raymond James & Associates, INC.Broker
August 2019 - Present · 6 yrs 9 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
November 2014 - September 2019 · 4 yrs 10 mos
Wells Fargo Clearing Services, LLCBroker
November 2014 - September 2019 · 4 yrs 10 mos
UBS Financial Services INC.
May 2009 - November 2014 · 5 yrs 6 mos
UBS Financial Services INC.Broker
April 2009 - November 2014 · 5 yrs 7 mos
Citigroup Global Markets INC.
August 1991 - May 2009 · 17 yrs 9 mos
Citigroup Global Markets INC.Broker
August 1991 - May 2009 · 17 yrs 9 mos
State Registrations24 states
ALAZCAFLILINKYMAMDMEMIMONCNHNJNVNYOHOKPASCTXVAWA
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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