Raymond A. Mittino
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.
Raymond Aldo Mittino, who also goes by Ray Mittino, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1984. Raymond had worked at 8 firms and has passed the 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
January 2, 2009 - October 4, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 29, 2008 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 9, 1997 - October 4, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 18, 1995 - May 13, 1997
CFD INVESTMENTS, INC.
April 7, 1994 - April 25, 1995
WALNUT STREET SECURITIES, INC.
November 19, 1990 - February 23, 1994
MARINER FINANCIAL SERVICES, INC.
March 5, 1990 - November 14, 1990
WOODWARD SECURITIES CORPORATION
April 1, 1986 - December 31, 1989
MUTUAL SERVICE CORPORATION
April 25, 1984 - March 27, 1986
CADARET, GRANT & 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.
