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Herve Liegeois

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Information

Firm:
Type: Dual Registration
Description

Herve Liegeois is a financial professional at Raymond James Financial Services Advisors, Inc, a $43B RIA based in St Petersburg, FL. Herve has held an industry securities registration for 16 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Insurance-Non Variable 2 years, 1 month Oct 2012 - Present
Raymond James Financial Services Advisors, Inc 4 years, 10 months Jan 2010 - Present
Raymond James Financial Services, Inc 6 years, 1 month Oct 2008 - Present
Raymond James & Associates, Inc. 11 years, 6 months Apr 1997 - Oct 2008
Exams
ExamSeriesPassed Date
Futures Managed Funds ExaminationSeries 31 02/18/2004
Uniform Investment Adviser Law ExaminationSeries 65 05/30/1997
Uniform Securities Agent State Law ExaminationSeries 63 05/13/1997
General Securities Representative ExaminationSeries 7 04/22/1997
National Commodity Futures ExaminationSeries 3 07/15/1988

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Herve Liegeois has not answered any questions on Financial Q&A.

Top Guides

Herve Liegeois has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

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

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

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

1 Customer Dispute

1 Customer Dispute

As of Date
10/03/2014
09/25/2014
*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.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions
  • Other: PER PARTICIPANT (ERISA)