Barry M. Papa
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.
Barry Michael Papa was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1984. Barry had worked at 15 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 15, Series 5, Series 3, Series 7, Series 9, Series 10, Series 28, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2016 - March 12, 2021
RAYMOND JAMES & ASSOCIATES, INC.
January 4, 2016 - March 12, 2021
RAYMOND JAMES & ASSOCIATES, INC.
December 8, 2014 - December 31, 2015
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 2, 2009 - December 31, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 5, 2006 - April 16, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 23, 2006 - December 31, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 15, 2006 - May 17, 2006
INCAP SECURITIES, INC.
July 19, 2004 - May 23, 2006
FCA CORP
January 3, 2003 - April 21, 2004
OPPENHEIMER & CO. INC.
January 3, 2003 - April 21, 2004
OPPENHEIMER & CO. INC.
December 6, 2002 - January 3, 2003
CIBC WORLD MARKETS CORP.
June 20, 2000 - January 3, 2003
CIBC WORLD MARKETS CORP.
September 9, 1993 - May 4, 2000
PRUDENTIAL EQUITY GROUP, LLC
February 4, 1991 - August 31, 1993
DONNELLAN HAYLETT & CO., INC.
January 29, 1990 - February 8, 1991
DICKINSON & CO.
January 2, 1990 - February 10, 1990
HANIFEN, IMHOFF SECURITIES CORP.
November 22, 1989 - January 2, 1990
MOORE & SCHLEY, CAMERON & CO.
February 5, 1987 - February 24, 1990
J. T. MORAN & CO., INC.
December 5, 1986 - February 9, 1987
HOMESTEAD SECURITIES, INC.
May 25, 1984 - August 28, 1985
FIRST JERSEY 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 15
Date: 1/23/1997
Foreign Currency Options ExaminationSeries 5
Date: 1/23/1997
Interest Rate Options ExaminationSeries 28
Date: 3/8/1993
Introducing Broker/Dealer Financial Operations Principal ExaminationSeries 8
Date: 11/15/1988
General Securities Sales Supervisor Examination (Options Module & General Module)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.
