Barbara G. Wiltshire
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 Gottschalk Wiltshire, who also goes by Barbara L Gottschalk, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1983. Barbara had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 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
December 1, 2017 - December 31, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
December 1, 2017 - December 31, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 3, 2010 - December 12, 2017
WELLS FARGO CLEARING SERVICES, LLC
December 3, 2010 - December 12, 2017
WELLS FARGO CLEARING SERVICES, LLC
May 1, 2002 - December 9, 2010
RBC CAPITAL MARKETS, LLC
March 9, 2002 - December 9, 2010
RBC CAPITAL MARKETS, LLC
March 28, 2001 - March 9, 2002
TUCKER ANTHONY INCORPORATED
November 15, 1983 - March 28, 2001
BRANCH, CABELL & CO., 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.
