Woodbury, NY 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
135 Crossways Park Drive, Suite 104
Woodbury NY 11797
Advisors at this office
6
Advisors at this office
Joseph B
Series 63, Series 65
Woodbury, NY
Raymond James & Associates
Joseph Bartumioli is a financial advisor with Raymond James & Associates in Woodbury, NY, holding Series 63 and Series 65 credentials and bringing 40 years of industry experience. He has been with Raymond James & Associates since 2013. Outside of his advisory role, he oversees the publishing of his son’s music. Raymond James & Associates is a large, dually registered broker-dealer and SEC-registered investment adviser serving a diverse client base, including individuals, institutions, and municipal entities. The firm offers tailored financial planning and consulting, drawing on a broad range of portfolio management styles and affiliated research.
John G
Series 63, Series 65
Woodbury, NY
Raymond James & Associates
John Gorman is a financial advisor at Raymond James & Associates with 30 years of industry experience. He holds the Series 63 and Series 65 designations and previously worked at Morgan Stanley Private Bank and Morgan Stanley Smith Barney for a combined 16 years. Raymond James & Associates is a large, dually registered broker-dealer and SEC-registered investment adviser that manages approximately $501 billion in assets. The firm serves individuals, institutional clients, and municipal entities, offering financial planning and advisory services through various specialized programs and a range of portfolio management styles.
Steven W
Series 63, Series 66
Woodbury, NY
Raymond James & Associates
Steven Whelan is a financial advisor with Raymond James & Associates, holding Series 63 and Series 66 designations and bringing 41 years of industry experience. He previously worked for Fahnestock & Co. Inc. for 20 years before joining Raymond James in 2022. 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, institutional clients, and municipal entities, offering financial planning, non-discretionary investment consulting, and specialized municipal advisory services.
Matthew W
Series 63, Series 65, Series 66
Woodbury, NY
Raymond James & Associates
Matthew Warshaw is a financial advisor with Raymond James & Associates, holding Series 63, 65, and 66 licenses and bringing 36 years of industry experience. He has been with Raymond James & Associates since 2012. 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 individuals, institutions, and municipal entities—offering financial planning, non-discretionary investment consulting, and institutional advisory services.
Joan F
Series 63
Woodbury, NY
Raymond James & Associates
Joan Ferrara is a financial advisor with Raymond James & Associates in Woodbury, NY, holding a Series 63 designation and 39 years of industry experience. She has been with Raymond James & Associates since 2010. Raymond James & Associates, Inc. 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/profit-sharing plans, charitable organizations, and municipal entities, offering financial planning and consulting services with a range of portfolio management strategies and affiliated research.
Arthur S
Series 63, Series 65, Series 66
Woodbury, NY
Raymond James & Associates
Arthur Springer is a financial advisor with Raymond James & Associates, holding Series 63, Series 65, and Series 66 designations and bringing 40 years of industry experience. His career includes eight years at Bank of America before joining Raymond James 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 individual, institutional, and municipal clients, offering financial planning, investment consulting, and institutional fiduciary solutions, with a range of portfolio management styles supported by affiliated research and model managers.
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