Jeffrey M. Eckroth
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.
Jeffrey Michael Eckroth, who also goes by Jeff Michael Eckroth, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1984. Jeffrey had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 51 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 - March 6, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 7, 2005 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 13, 1999 - March 6, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 23, 1999 - July 14, 1999
CAL FED INVESTMENTS
January 4, 1999 - March 17, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 27, 1997 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
October 18, 1995 - January 21, 1997
INVEST FINANCIAL CORPORATION
April 25, 1995 - October 17, 1995
BA INVESTMENT SERVICES, INC.
November 6, 1992 - April 24, 1995
CAPITAL BROKERAGE CORPORATION
February 19, 1992 - November 12, 1992
CUNA BROKERAGE SERVICES, INC.
January 15, 1991 - January 31, 1992
ESSEX NATIONAL SECURITIES, LLC
October 18, 1989 - January 7, 1991
MORGAN STANLEY DW INC.
August 8, 1988 - November 8, 1989
UR FINANCIAL, INC.
December 21, 1987 - July 19, 1988
A. G. EDWARDS & SONS, INC.
July 9, 1986 - January 1, 1988
PIPER SANDLER & CO.
January 25, 1984 - July 9, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
January 25, 1984 - July 11, 1986
IDS LIFE INSURANCE COMPANY
January 25, 1984 - July 11, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
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.
