Austin, TX W 5th Street Office
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Raymond James & Associates
Institution
Firm-wide stats for Raymond James & Associates
About
Raymond James & Associates, Inc. is a large, dually registered broker‑dealer and SEC‑registered investment adviser overseeing roughly $501 billion in assets and supported by a nationwide adviser force. The firm serves a broad client base—individuals (including HNW clients), institutional and pension/profit‑sharing plans, charitable organizations, and state and municipal entities—and offers financial planning, non‑discretionary investment consulting through its Wealth Advisory Services Program, sponsorship of wrap fee advisory programs, and institutional consulting via its Institutional Fiduciary Solutions division.
Advisors at the firm deliver tailored plans based on fact‑finding interviews, risk profiling, and software‑driven analyses (including deterministic and probability modeling), but planning and consulting relationships are generally non‑discretionary with implementation decisions left to the client. RJA and its advisers draw on a range of portfolio management styles and affiliated research and sub‑advisers (equity, fixed income, and alternative strategies), and they supplement advice with firm research and model manager options described in the Brochure.
Noteworthy for a firm of its size, RJA provides municipal advisory services and is affiliated with a municipal advisor while also acting in market‑making and execution roles in municipal and government bonds—an arrangement that is less common among peers. The Brochure also highlights the firm’s SIMPLE IRA Employer Advisory & Consulting Services Program (SIACS), which targets small employers with plan‑level oversight and customizable menus (including American Funds and a QDIA option), and describes the extensive affiliate ecosystem (banks, trust companies, insurance agencies, and in‑house asset managers) and related conflicts that the firm manages through disclosures and supervisory policies.
Based on Raymond James & Associates
Expertise
Based on Raymond James & Associates
Location
1608 W 5th Street, Suite 320
Austin TX 78703
Advisors at this office
4
Advisors at this office
Jennifer M
Series 63, Series 65
Austin, TX
Raymond James & Associates
Jennifer Miller is a financial advisor with Raymond James & Associates in Austin, TX, holding Series 63 and Series 65 licenses and bringing 28 years of industry experience. She has been with Raymond James & Associates since 2005. Outside of her advisory work, Miller serves as a board member for KLRU-TV, Austin PBS, dedicating approximately eight hours per month to this role. Raymond James & Associates is a large, dually registered broker-dealer and SEC-registered investment adviser managing approximately $501 billion in assets. The firm serves a diverse client base including individuals, institutions, pension plans, and charitable organizations, offering financial planning, non-discretionary investment consulting, and institutional fiduciary solutions.
Richard K
Series 66
Austin, TX
Raymond James & Associates
Richard Keenan is a Series 66 licensed financial advisor at Raymond James & Associates with 13 years of industry experience. He has been with Raymond James & Associates since 2016. Outside of his advisory role, Keenan is involved in two businesses: he is the owner of Fieldwise Connect, a digital asset initiative, and a partner in P&L Outfitters, where he occasionally leads outdoor hunting and fishing trips. Raymond James & Associates is a large, dually registered broker-dealer and SEC-registered investment adviser managing approximately $501 billion in assets. The firm serves a diverse client base including individuals, institutions, pension plans, and charitable organizations, offering financial planning and consulting with a range of portfolio management styles and affiliated research resources.
Frank P
Series 63
Austin, TX
Raymond James & Associates
Frank Penn is a financial advisor with Raymond James & Associates in Austin, TX, holding a Series 63 designation and 39 years of industry experience. He has been with Raymond James & Associates since 2005. Outside of his advisory role, Penn is the CEO of FWPGP, Inc., a business involved in non-investment activities. Raymond James & Associates is a large broker-dealer and SEC-registered investment adviser that serves a diverse client base including individuals, institutions, and municipal entities. The firm offers financial planning and consulting with a range of portfolio management styles and municipal advisory services.
Molly J
Series 66
Austin, TX
Raymond James & Associates
Molly Johnson is a financial advisor at Raymond James & Associates in Austin, TX, holding a Series 66 designation with nine years of industry experience. Her career includes roles at Dimensional Fund Advisors and Juniper Square Inc. Raymond James & Associates is a large, dually registered broker-dealer and SEC-registered investment adviser managing approximately $501 billion in assets. The firm serves a diverse client base including individuals, institutions, and charitable organizations, offering tailored financial planning and consulting services through various portfolio management styles and affiliated research.
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