Carolyn L. Diprinzio
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.
Carolyn Louise Diprinzio, who also goes by Carolyn Louise Maus, was a registered financial professional .
Carolyn is a previously registered financial professional and started their career in finance in 1983. Carolyn had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2019 - December 31, 2023
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 16, 2019 - December 31, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 26, 2013 - May 31, 2019
LPL FINANCIAL LLC
February 26, 2013 - May 31, 2019
LPL FINANCIAL LLC
June 1, 2008 - February 28, 2013
OSAIC INSTITUTIONS, INC.
June 1, 2008 - February 28, 2013
OSAIC INSTITUTIONS, INC.
October 22, 2003 - June 1, 2008
BI INVESTMENTS, LLC
October 9, 2003 - October 16, 2003
BI INVESTMENTS, LLC
October 9, 2003 - June 1, 2008
BI INVESTMENTS, LLC
April 7, 2003 - October 9, 2003
CAPITOL SECURITIES MANAGEMENT, INC.
April 7, 2003 - October 9, 2003
CAPITOL SECURITIES MANAGEMENT, INC.
March 31, 2000 - April 1, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 15, 1999 - April 1, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 2, 1995 - January 20, 1999
FIDELITY BROKERAGE SERVICES LLC
September 23, 1983 - May 24, 1991
PFS INVESTMENTS 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.
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Company Information
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Financial AdvisorCRD#: 149018TRUST BUT VERIFY
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