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Information

Firm:
Additional 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 is also registered with Raymond James Financial Services, Inc., a broker-dealer with over 4,950 registered representatives nationwide. Herve has held an industry securities registration for 20 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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.

Experience and Employment History

Employer Years Dates
Insurance-Non Variable 1 year, 6 months Oct 2012 - Present
Raymond James Financial Services Advisors, Inc 4 years, 3 months Jan 2010 - Present
Raymond James Financial Services, Inc 5 years, 6 months Oct 2008 - Present
Raymond James & Associates, Inc. 11 years, 6 months Apr 1997 - Oct 2008
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 11/19/2012, 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

Regulator
License Status
Registered
Registered
Disclosures

1 Customer Dispute

1 Customer Dispute

As of Date
11/19/2012
06/25/2012
*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 02/18/2004
Uniform Investment Adviser Law Examination Series 65 05/30/1997
Uniform Securities Agent State Law Examination Series 63 05/13/1997
General Securities Representative Examination Series 7 04/22/1997
National Commodity Futures Examination Series 3 07/15/1988

Firm Compensation Arrangements

help text

Types of Compensation Arrangements

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