Linda A. Fogarty
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.
Linda Ann Fogarty, who also goes by Linda A Fogarty, Linda Ann Fogartywoodall, Linda Ann Woodall, Linda Fogarty Woodall, Linda Fogerty Woodall, was a registered financial professional .
Linda is a previously registered financial professional and started their career in finance in 1982. Linda had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 4 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
February 13, 2013 - December 31, 2018
RAYMOND JAMES & ASSOCIATES, INC.
February 13, 2013 - December 31, 2018
RAYMOND JAMES & ASSOCIATES, INC.
March 18, 2004 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
July 1, 1998 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
November 11, 1997 - June 26, 1998
LEGG MASON WOOD WALKER, INCORPORATED
October 22, 1996 - October 10, 1997
MORGAN KEEGAN & COMPANY, LLC
August 14, 1994 - November 4, 1994
THE ROBINSON-HUMPHREY COMPANY, LLC
March 14, 1989 - April 8, 1994
MORGAN KEEGAN & COMPANY, LLC
July 26, 1988 - February 28, 1989
MADISON CAPITAL CORP.
September 10, 1987 - July 9, 1988
INVEST FINANCIAL CORPORATION
May 26, 1987 - September 3, 1987
W. N. ESTES & COMPANY, INC.
December 17, 1986 - June 10, 1987
AMERISTAR CAPITAL MARKETS, INC.
August 26, 1982 - September 23, 1986
W. N. ESTES & COMPANY, INC.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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 & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| AULETTA, SUZANNE ELIZABETH | DIRECTOR | 1418817 |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CAMPAGNOLI, VINCENT JOHN | CHIEF INFORMATION OFFICER | 1421076 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
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.
