Debra A. Windus
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 Anne Windus, who also goes by Debra A Windus, was a registered financial professional .
Debra is a previously registered financial professional and started their career in finance in 1986. Debra had worked at 10 firms and has passed the Series 65, Series 63, SIE 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
May 23, 2011 - March 27, 2015
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 9, 2011 - March 27, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 23, 2009 - August 20, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - August 20, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 26, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 19, 2003 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 3, 2000 - October 30, 2001
PRUDENTIAL EQUITY GROUP, LLC
June 6, 2000 - August 21, 2000
UST FINANCIAL SERVICES CORP.
May 26, 1999 - April 27, 2000
BANCWEST INVESTMENT SERVICES, INC.
March 29, 1999 - May 5, 1999
BANCWEST INVESTMENT SERVICES, INC.
November 11, 1998 - April 6, 1999
MUTUAL SECURITIES, INC.
March 2, 1998 - November 4, 1998
RBC CAPITAL MARKETS, LLC
March 15, 1993 - March 2, 1998
DAIN RAUSCHER INCORPORATED
May 21, 1986 - January 27, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
