Robert Walen
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.
Robert Walen, who also goes by Robert Walengewicz, was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1983. Robert had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 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
January 12, 2009 - July 1, 2015
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 21, 2003 - January 12, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - July 1, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 15, 1995 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
July 31, 1993 - May 15, 1995
CITIGROUP GLOBAL MARKETS INC.
April 9, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
March 28, 1988 - April 9, 1991
PRUDENTIAL EQUITY GROUP, LLC
March 11, 1986 - March 31, 1988
A. G. EDWARDS & SONS, INC.
December 5, 1984 - March 12, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
June 4, 1984 - December 20, 1984
ROONEY, PACE INC.
April 19, 1983 - June 8, 1984
MUNICICORP OF CALIFORNIA
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 8
Date: 7/30/1996
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.
