Barbara J. Hillman
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.
Barbara J Hillman, who also goes by Barbara Jo Hillman, Barbara J Seely Ms., Barbara Jo Seely, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1983. Barbara had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2021 - December 20, 2023
RAYMOND JAMES & ASSOCIATES, INC.
June 30, 2021 - December 20, 2023
RAYMOND JAMES & ASSOCIATES, INC.
July 25, 2008 - May 11, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 24, 2008 - May 11, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 3, 2006 - July 29, 2008
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
September 30, 2006 - July 29, 2008
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 25, 2004 - October 2, 2006
FIRST WESTERN ADVISORS
March 24, 2004 - October 2, 2006
FIRST WESTERN ADVISORS
July 1, 2003 - April 1, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - April 1, 2004
WELLS FARGO CLEARING SERVICES, LLC
November 22, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
October 7, 1994 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
June 28, 1994 - September 15, 1994
CITIGROUP GLOBAL MARKETS INC.
June 22, 1983 - June 6, 1994
PRUDENTIAL EQUITY GROUP, LLC
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
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.
