Ruth A. Mayhew
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.
Ruth Amada Mayhew, who also goes by Ruth Amada Sotolongo, was a registered financial professional .
Ruth is a previously registered financial professional and started their career in finance in 1983. Ruth had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2019 - March 26, 2021
RAYMOND JAMES & ASSOCIATES, INC.
February 28, 2019 - March 26, 2021
RAYMOND JAMES & ASSOCIATES, INC.
June 25, 2009 - March 1, 2019
MORGAN STANLEY
June 1, 2009 - March 1, 2019
MORGAN STANLEY
December 2, 2008 - December 10, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 2, 2008 - December 10, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 17, 1991 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
March 16, 1990 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 5, 1989 - February 3, 1990
CITIGROUP GLOBAL MARKETS INC.
May 17, 1988 - April 22, 1989
PRUDENTIAL EQUITY GROUP, LLC
March 30, 1988 - May 26, 1988
METROPOLITAN LIFE INSURANCE COMPANY
March 30, 1988 - May 26, 1988
MSI FINANCIAL SERVICES, INC.
March 31, 1986 - February 22, 1988
MABON, NUGENT & CO.
July 21, 1983 - December 9, 1985
INVEST FINANCIAL CORPORATION
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.
