Ann E. Mccloskey
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.
Ann Elizabeth Mccloskey, who also goes by Ann Elizabeth Wilkerson, was a registered financial professional .
Ann is a previously registered financial professional and started their career in finance in 1983. Ann had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2020 - December 22, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 19, 2020 - December 22, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 30, 2011 - December 17, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 4, 2008 - December 17, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 9, 2007 - June 5, 2008
CETERA INVESTMENT SERVICES LLC
July 2, 1991 - December 15, 1995
STUART, COLEMAN & CO., INC.
January 1, 1990 - June 25, 1990
STUART, COLEMAN & CO., INC.
June 21, 1988 - September 13, 1989
GRUNTAL & CO., L.L.C.
August 26, 1983 - May 26, 1988
MULLER AND COMPANY, INC.
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.
