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Warren Scroggie

Raymond James Financial Services Advisors, INC
27 Years of Experience
Ocala, FL
4 DisclosuresBroker
View SEC Summary
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Warren Scroggie is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Ocala, FL, with 27 years of industry experience. Warren is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 508,439 clients with $390B in assets under management.

Raymond James Financial Services Advisors, INC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6724 advisors
Number of Clients
508,439 clients
Average Client Portfolio
$767K average
Assets Under Management
$390.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum annual fee percentage is 2.25% of assets under advisement. Specific fees are negotiable with your financial advisor based on time, complexity, and portfolio size.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

41 SE 9th Ter, Ocala, FL, 34471

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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
May 2018
Settled
Customer Dispute
October 2016
Denied
Customer Dispute
January 2005
Settled
Customer Dispute
October 2004
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Warren is an owner of Scroggie Meffert Davis and Associates, dedicating about half of his time to marketing. He is also a partner in Shuckers and owner of WJScroggie LLC, but spends minimal time on these ventures.

Employment History
Current Registrations
Raymond James Financial Services, INC.Broker
April 2024 - Present · 2 yrs 6 mos
Raymond James Financial Services Advisors, INC
April 2024 - Present · 2 yrs 6 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - April 2024 · 14 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2009 - April 2024 · 14 yrs 6 mos
Banc of America Investment Services, INC.
March 2004 - October 2009 · 5 yrs 7 mos
Banc of America Investment Services, INC.Broker
March 2004 - October 2009 · 5 yrs 7 mos
Morgan Stanley
April 1999 - March 2004 · 4 yrs 11 mos
Morgan Stanley Dw INC.Broker
April 1999 - March 2004 · 4 yrs 11 mos
State Registrations23 states
ALAZCACOCTDCDEFLGAILINMIMOMTNCNJNVNYOHSCTXVAVT
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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