Fred E. Foster
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.
Fred Edward Foster III, who also goes by Ed Foster, Fred E Foster II, was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1984. Fred had worked at 8 firms and has passed the 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
October 30, 2015 - September 12, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 29, 2015 - September 12, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 1, 2008 - November 2, 2015
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - November 2, 2015
WELLS FARGO CLEARING SERVICES, LLC
August 20, 2007 - January 1, 2008
A. G. EDWARDS & SONS, INC.
August 20, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
December 31, 2001 - September 5, 2007
UBS FINANCIAL SERVICES INC.
August 14, 2000 - September 5, 2007
UBS FINANCIAL SERVICES INC.
January 25, 1993 - August 14, 2000
J.C. BRADFORD & CO.
September 15, 1989 - January 26, 1993
PRUDENTIAL EQUITY GROUP, LLC
May 3, 1984 - September 15, 1989
THOMSON MCKINNON SECURITIES 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.
