Catherine M. Feagles
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.
Catherine Mary Feagles, who also goes by Kay Feagles, Kay Ratesic, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1984. Catherine had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 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 - December 31, 2014
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 24, 2003 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 12, 2002 - December 31, 2014
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 5, 2001 - December 12, 2002
XTENT FINANCIAL GROUP, INC.
January 12, 2000 - February 28, 2001
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 2, 1987 - January 24, 2000
VESTAX SECURITIES CORPORATION
March 17, 1987 - November 16, 1987
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
May 24, 1984 - January 6, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
May 24, 1984 - January 7, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
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.
