Howard Dixon Ulmer III
Investment Adviser Representative at Raymond James Financial Services Advisors, Inc
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Howard Dixon Ulmer III is an investment adviser representative with Raymond James Financial Services Advisors, Inc in North East, MD, where they have been registered since 2019. They have worked in the securities industry since 1990 and have been registered with 3 firms, including Wells Fargo Clearing Services, LLC and Morgan Stanley. They have passed 7 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Maryland.
Office
Advisors at this office: 8
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Maryland
- Broker:
35 states and territories
Alaska, Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Idaho, Illinois, Indiana, Kentucky, Maine, Maryland, Massachusetts, Minnesota, Nevada, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Wells Fargo Clearing Services LLCFeb 2005 – Nov 2019Columbia, MD
- MusicianJan 2002 – no end date reportedColumbia, MD
- Ulmer Partners 2, LLCJan 2017 – no end date reportedColumbia, MD
- Rental PropertyJan 2005 – no end date reportedColumbia, MD
- Raymond James Financial Services, Inc.Nov 2019 – no end date reportedColumbia, MD
- Raymond James Financial Services Advisors, Inc.Nov 2019 – no end date reportedColumbia, MD
- M3 Investment Advisory LLCNov 2019 – no end date reportedColumbia, MD
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Raymond James Financial Services Advisors, Inc
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Commissions
- Hourly
- Fixed fee
- Other
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 6,660
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Saint Petersburg, FL
- SEC file number:
- 801-69815
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 21, 2026
View full firm profileOther advisors at Raymond James Financial Services Advisors, Inc
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Howard Dixon Ulmer III has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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