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Adam Laurence Theriault

Raymond James Financial Services, Inc.

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About Adam Laurence Theriault

Adam Laurence Theriault is a financial advisor at Raymond James Financial Services, Inc. in St. Petersburg, Florida. Adam has been a registered representative since 2006, and has worked in the industry since 2008. Adam holds Series 7, 9, 10, 52, 53 and 63 licenses. Adam also holds the SIE and Series 99TO licenses.

Firm Information

Adam Theriault is currently registered with Raymond James Financial Services, Inc.. Raymond James Financial Services, Inc. is a Corporation that was formed on September 12, 1973. The firm is registered in 53 states and is also registered with the SEC. The firm has been involved in 125 regulatory events and 76 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

568

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Adam Theriault’s Registration & Firm History

FL

02/27/2020 - Present

Raymond James Financial Services, Inc. (ST. PETERSBURG FL)

FL

12/13/2018 - 12/19/2018

INTL FCSTONE FINANCIAL INC. (WINTER PARK FL)

FL

09/21/2009 - 10/15/2018

RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)

FL

11/09/2006 - 11/29/2007

E*TRADE SECURITIES LLC (TAMPA FL)

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Licenses & Designations

BC

Issued 01/22/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/25/2019

Series 53 - Municipal Securities Principal Examination

BC

Issued 04/30/2019

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 03/27/2019

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/08/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There is public disclosure for Adam Laurence Theriault. Review regulatory record here.
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