Financial advisor
Mike Hohertz
Now at Raymond James & Associates · Houston, TX
Registered as MICHAEL XAVIER HOHERTZ
Transactions 1
Every recorded transaction this advisor took part in, newest first.
| Transaction | From | To | Pattern | Announced | Reported Assets |
|---|---|---|---|---|---|
| Mike Hohertz | J.P. Morgan Advisors | Raymond James & Associates | Lateral | May 27, 2026 | $550M |
Registration history
Firm registrations on FINRA BrokerCheck and SEC IAPD, newest first.
| Firm | Channel | From | To |
|---|---|---|---|
| RAYMOND JAMES & ASSOCIATES, INC. | Investment adviser | April 6, 2026 | Current |
| RAYMOND JAMES & ASSOCIATES, INC. | Broker-dealer | April 6, 2026 | Current |
| J.P. MORGAN SECURITIES LLC | Investment adviser | May 26, 2023 | April 3, 2026 |
| J.P. MORGAN SECURITIES LLC | Broker-dealer | September 12, 2018 | April 3, 2026 |
| LPL FINANCIAL LLC | Broker-dealer | February 26, 2018 | August 22, 2018 |
| J.P. MORGAN SECURITIES LLC | Investment adviser | July 8, 2010 | May 15, 2012 |
| J.P. MORGAN SECURITIES LLC | Broker-dealer | July 8, 2010 | October 19, 2016 |
| CHASE INVESTMENT SERVICES CORP. | Investment adviser | May 2, 2009 | July 9, 2010 |
| CHASE INVESTMENT SERVICES CORP. | Broker-dealer | May 2, 2009 | July 9, 2010 |
| WAMU INVESTMENTS, INC. | Investment adviser | June 25, 2007 | May 2, 2009 |
| WAMU INVESTMENTS, INC. | Broker-dealer | June 11, 2007 | May 2, 2009 |
| IBC INVESTMENTS | Broker-dealer | June 21, 2006 | June 5, 2007 |
| CUSO FINANCIAL SERVICES, L.P. | Investment adviser | May 4, 2004 | June 15, 2006 |
| CUSO FINANCIAL SERVICES, L.P. | Broker-dealer | April 1, 2003 | June 15, 2006 |
| PFS INVESTMENTS INC. | Broker-dealer | September 5, 2001 | December 2, 2002 |
Published record as of October 31, 2026. Registration dates are FINRA BrokerCheck and SEC IAPD registrations at the destination, not proof that client assets transferred. See the methodology.