Renee M. Rossi
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.
Renee Michele Rossi, who also goes by Renee Rossi, Renee Michele Tyler, was a registered financial professional .
Renee is a previously registered financial professional and started their career in finance in 1984. Renee had worked at 10 firms and has passed the Series 65, Series 66, 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
June 4, 2020 - November 1, 2021
RAYMOND JAMES & ASSOCIATES, INC.
June 4, 2020 - November 1, 2021
RAYMOND JAMES & ASSOCIATES, INC.
December 13, 2017 - June 5, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 27, 2017 - June 5, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 17, 2004 - August 9, 2016
DWS DISTRIBUTORS, INC.
July 7, 2004 - November 24, 2004
JPMORGAN FLEMING ASSET MANAGEMENT
February 1, 2001 - November 11, 2004
JPMORGAN DISTRIBUTION SERVICES, INC.
July 15, 1997 - June 2, 1999
COREBRIDGE CAPITAL SERVICES, INC.
December 15, 1995 - July 15, 1997
SUNAMERICA SECURITIES, INC.
February 22, 1994 - November 9, 1995
COREBRIDGE CAPITAL SERVICES, INC.
November 20, 1991 - September 13, 1993
PALMAS INVESTMENTS
June 3, 1988 - September 25, 1990
HEARTLAND INTERNATIONAL, INC.
May 3, 1984 - October 29, 1987
FIRST LIBERTY SECURITIES, INC.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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 & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| AULETTA, SUZANNE ELIZABETH | DIRECTOR | 1418817 |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CAMPAGNOLI, VINCENT JOHN | CHIEF INFORMATION OFFICER | 1421076 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
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.
