Deborah A. Healy
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.
Deborah Ann Healy, who also goes by Debbie Healy, Deborah A Healy, was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 1984. Deborah had worked at 9 firms and has passed the Series 63, SIE, Series 3 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
February 13, 2013 - February 8, 2021
RAYMOND JAMES & ASSOCIATES, INC.
February 13, 2013 - February 8, 2021
RAYMOND JAMES & ASSOCIATES, INC.
March 29, 2005 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
March 24, 2005 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
March 12, 2003 - April 22, 2005
UBS FINANCIAL SERVICES INC.
August 14, 2000 - April 22, 2005
UBS FINANCIAL SERVICES INC.
April 28, 1998 - August 14, 2000
J.C. BRADFORD & CO.
September 10, 1993 - April 22, 1998
MORGAN STANLEY DW INC.
October 25, 1989 - February 13, 1990
CITIGROUP GLOBAL MARKETS INC.
January 11, 1989 - October 12, 1989
LAMON & STERN, INC.
April 8, 1987 - January 5, 1988
KIDDER, PEABODY & CO. INCORPORATED
December 18, 1984 - March 30, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
