Houston, TX Dallas Street Office

Team
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Raymond James & Associates

Institution

Firm-wide stats for Raymond James & Associates

Total advisors

5,796

Across 935 offices

Clients per advisor

89 Typical

Avg AUM per client

$788,879 Very High

HNW client ratio

19% Typical

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

General retirement planning Retirement income strategy Business succession planning

Based on Raymond James & Associates

Occupation focus

Founder/Business Owner Executive

Based on Raymond James & Associates

Location

500 Dallas Street, Suite 3400

Houston TX 77002

Advisors at this office

12

Advisors at this office

user avatar

Thomas H

Series 66

Houston, TX

Raymond James & Associates

Thomas Huggins is a financial advisor with Raymond James & Associates in Houston, TX, holding a Series 66 designation and 23 years of industry experience. Prior to joining Raymond James in 2019, he worked at Morgan Stanley Private Bank and Morgan Stanley Smith Barney from 2009 to 2019. 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 governmental entities, offering financial planning and investment consulting through various programs and portfolio management styles.

General retirement planning Retirement income strategy Business succession planning Founder/Business Owner Executive
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Natanie K

Series 63, Series 66

Houston, TX

Raymond James & Associates

Natanie Keller is a financial advisor with Raymond James & Associates in Houston, TX, holding Series 63 and Series 66 licenses and possessing 17 years of industry experience. Prior to joining Raymond James in 2019, Keller spent 10 years with Morgan Stanley Smith Barney. Raymond James & Associates is a large, dually registered broker-dealer and SEC-registered investment adviser overseeing approximately $501 billion in assets. The firm serves individuals, institutional clients, pension plans, charitable organizations, and municipal entities, providing financial planning, non-discretionary investment consulting, and institutional advisory services supported by a nationwide network of advisors.

General retirement planning Retirement income strategy Business succession planning Founder/Business Owner Executive
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Charles C

Series 63, Series 65

Houston, TX

Raymond James & Associates

Charles Church is a financial advisor with Raymond James & Associates in Houston, TX, holding Series 63 and Series 65 credentials and bringing 43 years of industry experience. He has been with Raymond James & Associates since 2005. 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, institutional and pension plans, charitable organizations, and government entities, offering financial planning, non-discretionary investment consulting, and institutional fiduciary solutions.

General retirement planning Retirement income strategy Business succession planning Founder/Business Owner Executive
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Michael H

Series 66

Houston, TX

Raymond James & Associates

Michael Hohertz is a financial advisor at Raymond James & Associates with 23 years of industry experience. He holds a Series 66 designation and has worked at several firms, including JPMorgan Securities LLC and LPL Financial. Outside of his advisory role, he is an owner/partner in Cub Crafters, Inc., an airplane manufacturer, and serves on the finance committee of Inprint, a Houston-based literary arts nonprofit organization. Raymond James & Associates is a large, dually registered broker-dealer and SEC-registered investment adviser serving a broad client base that includes individuals, institutions, and municipal entities. The firm offers financial planning and investment consulting with a range of portfolio management styles and provides municipal advisory services alongside market-making and execution roles in government bonds.

General retirement planning Retirement income strategy Business succession planning Founder/Business Owner Executive
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Nicole B

Series 63, Series 66

Houston, TX

Raymond James & Associates

Nicole Boniface is a financial advisor at Raymond James & Associates with 21 years of industry experience. She previously worked at Morgan Stanley Smith Barney for 10 years before joining Raymond James in 2019. Outside of her advisory role, she is the owner of a photography business and serves as Treasurer and Board Member for the Lake Creek Royals Booster Club. 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 municipal entities, offering financial planning and non-discretionary investment consulting supported by a nationwide network of advisors.

General retirement planning Retirement income strategy Business succession planning Founder/Business Owner Executive
user avatar

Randall S

CFP®, Series 63, Series 65

Houston, TX

Raymond James & Associates

Randall Sutton is a CFP® certified financial advisor with 40 years of industry experience. He is currently with Raymond James & Associates and previously worked at Ameriprise Financial Services and Morgan Stanley Smith Barney. 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 municipal entities, offering financial planning and non-discretionary investment consulting supported by a range of portfolio management styles and affiliated research.

General retirement planning Retirement income strategy Business succession planning Founder/Business Owner Executive
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William F

Series 63, Series 65

Houston, TX

Raymond James & Associates

William Forsyth is a financial advisor at Raymond James & Associates with 41 years of industry experience. He holds Series 63 and Series 65 licenses and has previously worked at Wells Fargo Clearing and UBS Financial Services. His current tenure at Raymond James & Associates began in 2017. 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.

General retirement planning Retirement income strategy Business succession planning Founder/Business Owner Executive
user avatar

Richard R

Series 63

Houston, TX

Raymond James & Associates

Richard Roeder is a financial advisor with Raymond James & Associates in Houston, TX, holding a Series 63 designation and bringing 56 years of industry experience. He has been with Raymond James & Associates since 2006. Outside of his advisory role, he is a business owner with minimal involvement related to receiving royalty checks. Raymond James & Associates is a large, dually registered broker‑dealer and SEC-registered investment adviser managing approximately $501 billion in assets. The firm serves individuals, institutions, pension plans, charitable organizations, and governmental entities, offering financial planning and non-discretionary investment consulting supported by a nationwide adviser network.

General retirement planning Retirement income strategy Business succession planning Founder/Business Owner Executive
user avatar

Kevin R

Series 63, Series 65

Houston, TX

Raymond James & Associates

Kevin Roberts is a financial advisor with Raymond James & Associates in Houston, TX, holding Series 63 and Series 65 licenses and bringing 29 years of industry experience. He previously worked at City National Bank, RBC Capital Markets, and Morgan Stanley in various advisory and private banking roles. Raymond James & Associates is a large, dually registered broker-dealer and SEC-registered investment adviser serving a diverse client base that includes individuals, institutions, pension plans, and charitable organizations. The firm offers financial planning, non-discretionary investment consulting, and institutional fiduciary solutions, with a broad range of portfolio management strategies supported by firm research and multiple affiliated sub-advisers.

General retirement planning Retirement income strategy Business succession planning Founder/Business Owner Executive
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Maria H

Series 63, Series 65

Houston, TX

Raymond James & Associates

Maria Hendershott is a financial advisor at Raymond James & Associates with 50 years of industry experience. She holds Series 63 and Series 65 designations and has been with Raymond James since 2006. Outside of her advisory role, she serves on the Board of Trustees for The Council on Alcohol and Drugs in Houston. 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 wide range of clients including individuals, institutions, and municipalities, offering financial planning, investment consulting, and institutional fiduciary services.

General retirement planning Retirement income strategy Business succession planning Founder/Business Owner Executive
user avatar

David T

Series 63, Series 65

Houston, TX

Raymond James & Associates

David Thompson is a financial advisor with Raymond James & Associates, holding Series 63 and Series 65 licenses and 13 years of industry experience. He previously worked at Morgan Stanley and Morgan Stanley Private Bank before joining Raymond James in 2019. Outside of his advisory role, he owns two businesses, Synapse Discovery, focused on digital content operations, and Two Coils LLC, an online retail venture. Raymond James & Associates is a large broker-dealer and SEC-registered investment adviser managing approximately $501 billion in assets. The firm serves a diverse client base including high-net-worth individuals, institutions, and municipal entities, offering tailored financial planning and non-discretionary investment consulting supported by extensive research and a range of portfolio management strategies.

General retirement planning Retirement income strategy Business succession planning Founder/Business Owner Executive
user avatar

Jeff H

Series 63, Series 65

Houston, TX

Raymond James & Associates

Jeff Heberling is a financial advisor at Raymond James & Associates with 28 years of industry experience. He previously worked at RBC Capital Markets LLC, Citigroup Global Markets, and Fidelity. Heberling volunteers with the Houston Livestock Show and Rodeo's Houston Go Metro Committee, assisting with fundraising efforts. Raymond James & Associates is a large, dually registered broker-dealer and SEC-registered investment adviser overseeing approximately $501 billion in assets. The firm serves a diverse client base, including individuals, institutions, and charitable organizations, offering financial planning, non-discretionary investment consulting, and institutional fiduciary solutions.

General retirement planning Retirement income strategy Business succession planning Founder/Business Owner Executive
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