Richard A. Narez
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Anthony Narez was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1981. Richard had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2012 - July 12, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 18, 2012 - July 12, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 7, 2011 - January 25, 2012
ESSEX NATIONAL SECURITIES, LLC
November 29, 2006 - January 25, 2012
ESSEX NATIONAL SECURITIES, LLC
March 29, 2004 - December 23, 2010
ADDISON AVENUE FINANCIAL PARTNERS, LLC
December 12, 1998 - December 4, 2006
CUSO FINANCIAL SERVICES, L.P.
May 20, 1998 - December 4, 2006
CUSO FINANCIAL SERVICES, L.P.
February 1, 1994 - May 19, 1998
CETERA WEALTH SERVICES, LLC
February 27, 1989 - February 16, 1994
CUNA BROKERAGE SERVICES, INC.
March 29, 1985 - March 6, 1989
PRUDENTIAL EQUITY GROUP, LLC
November 15, 1981 - April 11, 1985
AMERIPRISE FINANCIAL SERVICES, LLC
November 15, 1981 - April 11, 1985
AMERICAN EXPRESS FINANCIAL CORPORATION
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
