Patricia C. Hammond

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CRD#: 1129156

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.

Patricia Carol Hammond, CFP®, who also goes by Patricia R Hammond, Patricia Roessler Hammond, Patty Hammond, Patricia Carol Roessler, was a registered financial professional .

Patricia is a previously registered financial professional and started their career in finance in 1983. Patricia had worked at 9 firms and has passed the Series 63, SIE, Series 31, Series 7, Series 4, Series 51 and Series 24 exams.

Question & Answer

What are your service offerings?

Retirement Planning

Investment Planning

Life Transitions

Comprehensive Financial Planni...

Estate Planning

Are you a "fiduciary"?

Aliases

Patricia R Hammond | Patricia Roessler Hammond | Patty Hammond | Patricia Carol Roessler

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(1)Name of Business: Carter Advisory Services Address: 12222 Merit Dr Ste 1800, Dallas, TX, 75251, United States Activity Type: Independent RIA Position/Title: Advisor Investment Related: Yes Start Date: 02/01/2004 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 41-80 Description of duties: Investment Advisor Representative and compliance vice president. Bill Carter is the chief compliance officer registered with FINRA (2)Name of Business: Carter Financial Management Address: 12222 Merit Dr Ste 1800, Dallas, TX, 75251, United States Activity Type: Support Company - Non Owner Position/Title: Independent Contractor Investment Related: No Start Date: 02/01/2014 Hours per month devoted to this business: 21-40 Hours per month devoted to this business during trading hours: 11-20 Description of duties: I am an independent contractor of the firm (Carter Financial Management) that is a branch of Raymond James Financial services

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1984

Experience

Past

January 2, 2009 - November 20, 2024

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

DALLAS, TX

Past

August 8, 2005 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

DALLAS, TX

Past

March 5, 2004 - November 20, 2024

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

DALLAS, TX

Past

February 4, 2004 - October 24, 2024

CARTER ADVISORY SERVICES, INC

RIA

CRD#: 116249

DALLAS, TX

Past

October 8, 2002 - January 11, 2005

CPF TEXAS

RIA

CRD#: 122484

DALLAS, TX

Past

June 28, 2002 - February 5, 2004

LPL FINANCIAL LLC

RIA

CRD#: 6413

DALLAS, TX

Past

June 28, 2002 - February 5, 2004

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

August 23, 2001 - June 28, 2002

RONALD BLUE & CO., LLC

RIA

CRD#: 104605

DALLAS, TX

Past

February 13, 1998 - August 6, 2001

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

January 9, 1997 - January 9, 1998

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

May 4, 1994 - January 4, 1997

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

August 26, 1985 - July 2, 1993

KEOGLER, MORGAN & COMPANY, INC.

CRD#: 16546

ATLANTA, GA

Past

June 22, 1983 - June 14, 1985

FSC SECURITIES CORPORATION

CRD#: 7461

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/13/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/6/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/18/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 3/16/2015

Registered Options Principal Examination

Principal/Supervisory Exam

Series 51

Date: 2/12/2008

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/9/1995

General Securities Principal Examination

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

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Contact information

Main Address

880 Carillon Parkway, Saint Petersburg, FL 33716

Mailing Address

Phone number

(727) 567-3020

Established

Firm type

Fiscal year end

# of Employees

6,727

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. WRAP BROCHURE (6/30/2025)

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. FIRM BROCHURE (6/30/2025)

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	Cover Page	Report
08/21/2024	Cover Page	Report
09/27/2023	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Patricia C. Hammond

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

CARTER ADVISORY SERVICES, INC

CPF TEXAS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

RONALD BLUE & CO., LLC

LPL FINANCIAL LLC

CETERA WEALTH SERVICES, LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

KEOGLER, MORGAN & COMPANY, INC.

FSC SECURITIES CORPORATION

Primary Firm SEC Registration

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/13/1983

SIE

Date: 10/1/2018

Series 31

Date: 12/6/2007

Series 7

Date: 6/18/1983

Series 4

Date: 3/16/2015

Series 51

Date: 2/12/2008

Series 24

Date: 3/9/1995

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

TRUST BUT VERIFY

Contact information

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