Sharon R. Goldston
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.
Sharon Rafferty Goldston, who also goes by Sharon A Rafferty, Sharon A Thompson, was a registered financial professional .
Sharon is a previously registered financial professional and started their career in finance in 1983. Sharon had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 31 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
March 23, 2012 - April 6, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 9, 2012 - April 6, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 1, 2009 - April 18, 2012
MORGAN STANLEY
June 1, 2009 - April 18, 2012
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
September 20, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
September 20, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
August 22, 2002 - September 27, 2005
A. G. EDWARDS & SONS, INC.
June 17, 1989 - September 27, 2005
A. G. EDWARDS & SONS, INC.
March 17, 1989 - June 26, 1989
DERAND/PENNINGTON/BASS, INC.
August 24, 1983 - March 17, 1989
PENNINGTON/BASS EQUITIES, 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
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.
