Richard H. Englehart
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.
Richard Hays Englehart JR, who also goes by Richard H. Englehart Jr, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2019 - September 26, 2022
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
September 27, 2019 - September 26, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 2, 2017 - September 27, 2019
MARINER ADVISOR NETWORK
November 21, 2003 - October 14, 2019
LPL FINANCIAL LLC
November 21, 2003 - October 14, 2019
LPL FINANCIAL LLC
July 8, 2002 - November 21, 2003
VERAVEST INVESTMENT ADVISORS, INC.
June 7, 2002 - November 21, 2003
VERAVEST INVESTMENTS, INC.
October 31, 2001 - May 2, 2002
CLARK SECURITIES, INC.
May 4, 2001 - October 19, 2001
MUTUAL SERVICE CORPORATION
January 2, 1992 - May 7, 2001
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 9, 1983 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 9, 1983 - April 5, 2001
EQUITABLE ADVISORS, LLC
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.
