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Type: Dual Registration

Wonnie Short is a financial professional at Raymond James & Associates, Inc., a broker-dealer with over 5,350 registered representatives nationwide. Wonnie has held an industry securities registration for 21 years and is subject to SEC and FINRA oversight.

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Answers and Guides

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Top Answers

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Top Guides

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Firm Client Types

High Net Worth Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Raymond James & Associates 2 years, 5 months Nov 2011 - Present
Wells Fargo Advisors, LLC (19616) 2 years, 6 months May 2009 - Nov 2011
Wachovia Securities, LLC 1 year, 4 months Jan 2008 - May 2009
A.G. Edwards 11 years, 2 months Nov 1996 - Jan 2008
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 06/03/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

License Status

1 Termination

1 Termination

As of Date
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Futures Managed Funds Examination Series 31 08/11/2009
Uniform Securities Agent State Law Examination Series 63 08/28/1992
General Securities Representative Examination Series 7 08/25/1992

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions