Debra K. Bertrand
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.
Debra Kay Bertrand, who also goes by Debra K Bertrand, was a registered financial professional .
Debra is a previously registered financial professional and started their career in finance in 1988. Debra had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2013 - June 23, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 22, 2013 - May 24, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 11, 2011 - December 20, 2012
WELLS FARGO CLEARING SERVICES, LLC
August 5, 2000 - December 20, 2012
WELLS FARGO CLEARING SERVICES, LLC
October 19, 1988 - August 5, 2000
GLEACHER & COMPANY SECURITIES, 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.
