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Richard Snipes
33 Years of Experience
Sanford, FL
5 DisclosuresBroker
Richard Snipes is a registered investment advisor at Raymond James & Associates, INC., based in Sanford, FL, with 33 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.
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
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Location
Sanford, FL
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Regulatory History (5)
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
April 2020Settled
Customer Dispute
November 2019Denied
Customer Dispute
August 2011Settled
Customer Dispute
January 2008Denied
Customer Dispute
August 2003Denied
Employment History
Current Registrations
Raymond James & Associates, INC.
February 2003 - Present · 23 yrs 7 mos
Raymond James & Associates, INC.Broker
December 2002 - Present · 23 yrs 9 mos
Raymond James & Associates, INC.
December 2002 - Present · 23 yrs 9 mos
Previous Registrations
Mcdonald Investments INC.
September 1999 - December 2002 · 3 yrs 3 mos
Mcdonald Investments INC.Broker
May 1999 - December 2002 · 3 yrs 7 mos
Key Investments INC.Broker
June 1997 - May 1999 · 1 yr 11 mos
Legg Mason Wood Walker, IncorporatedBroker
June 1996 - June 1997 · 1 yr
Smith Barney INC.Broker
July 1993 - June 1996 · 2 yrs 11 mos
Lehman Brothers INC.Broker
June 1992 - July 1993 · 1 yr 1 mo
State Registrations32 states
ARAZCACOCTDCFLGAHIILINKSKYMIMOMSMTNCNENJNMNYOHOKORPASCTNTXUTVAWA
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.