Carol Ann Mciltrot
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.
Carol Ann Mciltrot, who also goes by Carol Ann Boehmler, Carol Ann Mciltrot, Carol Ann Murphy, Carol Ann Boehmler Murphy, was a registered financial professional .
Carol Ann is a previously registered financial professional and started their career in finance in 1983. Carol Ann had worked at 6 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 2, Series 53 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
August 12, 2009 - July 28, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 2, 1991 - October 10, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 26, 1991 - July 28, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 9, 1990 - March 27, 1991
NORTHERN TRUST SECURITIES, INC.
December 4, 1985 - March 5, 1990
A. G. EDWARDS & SONS, INC.
March 19, 1985 - November 23, 1985
SECURICORP, INC.
December 11, 1984 - February 26, 1985
LAWRENCE, RAGER & CO., INC.
September 22, 1983 - October 26, 1984
LAWRENCE, RAGER & 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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 2
Date: 10/13/1981
Non-Member General Securities ExaminationCurrent 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.
