Carla Raffin
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.
Carla Raffin, who also goes by Carla Lynne Farnsworth, Carla Farnsworth, Carla Harris, Carla Lynne Raffin, Carla Raffin, was a registered financial professional .
Carla is a previously registered financial professional and started their career in finance in 1982. Carla had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2018 - September 5, 2018
RAYMOND JAMES & ASSOCIATES, INC.
June 4, 2018 - September 5, 2018
RAYMOND JAMES & ASSOCIATES, INC.
January 3, 2011 - April 5, 2018
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - April 5, 2018
WELLS FARGO CLEARING SERVICES, LLC
March 10, 2009 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
March 9, 2009 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
March 2, 2009 - March 10, 2009
WADDELL & REED
March 2, 2009 - March 10, 2009
WADDELL & REED
July 7, 2005 - November 21, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 2, 2004 - April 8, 2005
TEACHERS PERSONAL INVESTORS SERVICES, INC.
January 1, 2004 - November 21, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 18, 2001 - January 1, 2004
TEACHERS PERSONAL INVESTORS SERVICES, INC.
February 14, 1998 - June 22, 2001
FIDELITY BROKERAGE SERVICES LLC
December 23, 1982 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
December 23, 1982 - February 10, 1998
SIGNATOR INVESTORS, 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
Series 8
Date: 5/8/1998
General Securities Sales Supervisor Examination (Options Module & General Module)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.
