Richard J. Rossi

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CRD#: 1291357

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.

Richard John Rossi was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 19, 2012 - December 31, 2016

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

ST. PETERSBURG, FL

Past

July 13, 2006 - December 31, 2016

CARILLON FUND DISTRIBUTORS, INC.

CRD#: 139749

ST. PETERSBURG, FL

Past

December 5, 2000 - December 31, 2016

EAGLE ASSET MANAGEMENT INC

RIA

CRD#: 110653

ST. PETERSBURG, FL

Past

March 2, 2000 - December 31, 2016

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

October 1, 1999 - March 9, 2000

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

November 16, 1990 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

May 9, 1990 - November 20, 1990

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

RED BANK, NJ

Past

October 26, 1984 - January 11, 1990

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705 / SEC#: 801-10418, 8-10999

RIA

Registered Investment Advisory firm - SEC (12/19/1974 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/10/1991

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/28/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/20/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 3/27/2006

Investment Company Products/Variable Contracts Principal Examination

Current Firm

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705 / SEC#: 801-10418, 8-10999

RIA

Registered Investment Advisory firm - SEC (12/19/1974 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

880 Carillon Parkway, St. Petersburg, FL 33716

Mailing Address

880 Carillon Parkway, St. Petersburg, FL 33716

Phone number

(727) 567-1000

Established

Florida since 02/19/1969

Firm type

Corporation

Fiscal year end

September

Firm Size

Large

# of Employees

13,966

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

RAYMOND JAMES WRAP FEE PROGRAM BROCHURE (12/1/2025)

RAYMOND JAMES FORM ADV PART 2A BROCHURE (12/1/2025)

INSTITUTIONAL FIDUCIARY SOLUTIONS PROGRAM BROCHURE (6/30/2025)

PUBLIC FINANCE INVESTMENT STRATEGIES BROCHURE (12/20/2024)

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	Cover Page	Report
08/21/2024	Cover Page	Report
09/27/2023	Cover Page	Report

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.

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Richard J. Rossi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CARILLON FUND DISTRIBUTORS, INC.

EAGLE ASSET MANAGEMENT INC

RAYMOND JAMES & ASSOCIATES, INC.

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION CAPITAL MARKETS CORP.

FIRST MONTAUK SECURITIES CORP.

RAYMOND JAMES & ASSOCIATES, INC.

Primary Firm SEC Registration

RAYMOND JAMES & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/10/1991

Series 63

Date: 12/28/1984

SIE

Date: 12/31/2016

Series 7

Date: 10/20/1984

Series 26

Date: 3/27/2006

Current Firm

RAYMOND JAMES & ASSOCIATES, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

RAYMOND JAMES & ASSOCIATES, INC.

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