George A. Puliafico
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.
George Anthony Puliafico was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1983. George had worked at 8 firms and has passed the Series 63, 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
January 2, 2009 - October 23, 2009
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 16, 2008 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - June 26, 2025
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 31, 1994 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
July 31, 1993 - April 11, 1994
CITIGROUP GLOBAL MARKETS INC.
November 21, 1986 - July 31, 1993
LEHMAN BROTHERS INC.
August 23, 1984 - August 25, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
August 23, 1984 - August 26, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
August 12, 1983 - September 4, 1984
FORESTERS FINANCIAL SERVICES, 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.
Company Information
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Branch ManagerCRD#: 149018TRUST BUT VERIFY
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