Timothy J. Cusack
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.
Timothy James Cusack was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1983. Timothy had worked at 7 firms and has passed the Series 63, SIE, Series 15, Series 5, Series 3, 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
May 27, 2009 - November 1, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 25, 1996 - October 10, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 7, 1996 - November 1, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 27, 1995 - May 7, 1996
PRUDENTIAL EQUITY GROUP, LLC
June 10, 1993 - October 2, 1995
CITIGROUP GLOBAL MARKETS INC.
January 4, 1991 - June 1, 1993
CHASE INVESTMENT SERVICES CORP.
February 17, 1988 - December 17, 1990
MORGAN STANLEY DW INC.
April 23, 1984 - February 27, 1988
KIDDER, PEABODY & CO. INCORPORATED
March 16, 1983 - April 26, 1984
CITIGROUP GLOBAL MARKETS 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
Series 15
Date: 4/3/1989
Foreign Currency Options ExaminationSeries 5
Date: 3/23/1989
Interest Rate Options ExaminationSeries 8
Date: 7/19/1988
General Securities Sales Supervisor Examination (Options Module & General Module)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.
