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James Sickling

Director at Raymond James & Associates

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
13
Licensing exams

IAPD record retrieved 17 October 2026SEC record

James Sickling is Director of Raymond James & Associates, Inc., a ST. Petersburg investment adviser managing $501B. James Sickling has a current broker registration and no current investment-adviser registration and has passed 13 licensing exams.

Role at Raymond James & Associates

Title on Schedule A
Director
Control
James Sickling is a control person of Raymond James & Associates.
Ownership
An individual ownership band is not available in the source record.
Tenure
James Sickling has held the filed role since March 2019.

The firm

Raymond James & Associates, Inc.
ST. Petersburg, FL

Form ADV filed 25 September 2026

$501B AUM531,617 clients5,683 advisers27 offices

Career on record

Firms and exams, newest first
  1. Passed Series 4, Series 9, Series 10, Series 99TO, Series 79TO and Series 57TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 55 · 2000
  4. Passed Series 3 · 1998
  5. Passed Series 8 · 1996
  6. Passed Series 24 · 1993
  7. Passed Series 63 · 1991
  8. Passed Series 7 · 1985

Registrations and exams

Broker registration; no current adviser registration. James Sickling has passed 13 qualifying exams.

Examinations

Series 6327 November 1991
Name
Uniform Securities Agent State Law Examination
Series 42 January 2023
Name
Registered Options Principal Examination
Series 92 January 2023
Name
General Securities Sales Supervisor - Options Module Examination
Series 102 January 2023
Name
General Securities Sales Supervisor - General Module Examination
Series 819 September 1996
Name
General Securities Sales Supervisor Examination (Options Module & General Module)
Series 2425 January 1993
Name
General Securities Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
Series 79TO2 January 2023
Name
Investment Banking Registered Representative Examination
Series 57TO2 January 2023
Name
Securities Trader Exam
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 5524 March 2000
Name
Limited Representative-Equity Trader Exam
Series 317 July 1998
Name
National Commodity Futures Examination
Series 721 September 1985
Name
General Securities Representative Examination

Individual record

Full name
James Philip Sickling
CRD
1240810
Firm
Raymond James & Associates, Inc.
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does James Sickling work?

James Sickling has been Director of Raymond James & Associates, Inc. since March 2019, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 25 September 2026

Does James Sickling have a current investment-adviser registration?

James Sickling has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has James Sickling passed?

James Sickling has passed 13 licensing exams: the Series 7, Series 63, Series 24, Series 8, Series 3, Series 55, SIE, Series 4, Series 9, Series 10, Series 99TO, Series 79TO and Series 57TO. The earliest, the Series 7, was passed in September 1985.

Source: IAPD individual record, checked 17 October 2026

Leadership at Raymond James & Associates

Sources

  1. IAPD individual record, CRD 1240810. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Raymond James & Associates, Inc., filed 25 September 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with James Sickling or Raymond James & Associates, Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.