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Philip Martin

RIA Chief Compliance Officer at Raymond James & Associates

Investment adviser and broker registrationsSEC record checked 17 October 2026

30
Years in the industry
7
Years at the firm
2
Adviser firms
1
State registrations

IAPD record retrieved 17 October 2026SEC record

Philip Martin is RIA Chief Compliance Officer of Raymond James & Associates, Inc., a ST. Petersburg investment adviser managing $501B. Philip Martin has been registered through Raymond James & Associates since 31 July 2019, has 30 years in the industry across 2 firms and has passed 9 licensing exams.

Role at Raymond James & Associates

Title on Schedule A
RIA Chief Compliance Officer
Control
Philip Martin is not a control person of Raymond James & Associates.
Ownership
An individual ownership band is not available in the source record.
Tenure
Philip Martin has held the filed role since December 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

Philip Martin has been registered through Raymond James & Associates since July 2019.

Firms and exams, newest first
  1. Passed Series 10 and Series 9 · 2023
  2. Raymond James & Associates, Inc.Current
    – present · 7 years
    Denver, CO · Adviser representative · Firm CRD 705
  3. Passed SIE · 2018
  4. Charles Schwab & Co., Inc.
    – · 12 years
    Lone Tree, CO · Adviser representative · Firm CRD 5393
  5. Passed Series 66 · 2007
  6. Passed Series 4 · 2001
  7. Passed Series 8 · 1998
  8. Passed Series 7 · 1996
  9. Passed Series 6 and Series 63 · 1995

Registrations and exams

Philip Martin has a current investment-adviser registration in Colorado and has passed 9 qualifying exams.

Colorado31 July 2019
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6620 December 2007
Name
Uniform Combined State Law Examination
Series 632 June 1995
Name
Uniform Securities Agent State Law Examination
Series 102 January 2023
Name
General Securities Sales Supervisor - General Module Examination
Series 92 January 2023
Name
General Securities Sales Supervisor - Options Module Examination
Series 423 May 2001
Name
Registered Options Principal Examination
Series 823 January 1998
Name
General Securities Sales Supervisor Examination (Options Module & General Module)
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 78 February 1996
Name
General Securities Representative Examination
Series 622 May 1995
Name
Investment Company Products/Variable Contracts Representative Examination

Individual record

Full name
Philip Roger Martin
CRD
2613565
Firm
Raymond James & Associates, Inc.
Registration status
Investment adviser and broker registrations

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 Philip Martin work?

Philip Martin has been RIA Chief Compliance Officer of Raymond James & Associates, Inc. since December 2019.

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

Is Philip Martin a financial advisor?

Yes. Philip Martin has a current investment-adviser registration in Colorado, through Raymond James & Associates since July 2019, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does Philip Martin have?

Philip Martin has worked in the financial industry for 30 years as of 17 October 2026, counted from 1 November 1995, across 2 adviser firms.

Source: IAPD individual record, checked 17 October 2026

What exams has Philip Martin passed?

Philip Martin has passed 9 licensing exams: the Series 6, Series 63, Series 7, Series 8, Series 4, Series 66, SIE, Series 10 and Series 9. The earliest, the Series 6, was passed in May 1995.

Source: IAPD individual record, checked 17 October 2026

Leadership at Raymond James & Associates

Sources

  1. IAPD individual record, CRD 2613565. 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 Philip Martin 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.