Naomi Y. Oye
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.
Naomi Yumiko Oye, who also goes by Naomi Y Okada, Naomi Y Okimoto, was a registered financial professional .
Naomi is a previously registered financial professional and started their career in finance in 1984. Naomi had worked at 7 firms and has passed the Series 63, SIE, Series 31, Series 7, Series 22, Series 6 and Series 24 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 - January 12, 2015
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 16, 2008 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 14, 2008 - January 12, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 7, 2007 - May 14, 2008
COMMONWEALTH FINANCIAL NETWORK
December 7, 2007 - May 14, 2008
COMMONWEALTH FINANCIAL NETWORK
May 26, 1999 - December 12, 2007
LPL FINANCIAL LLC
May 6, 1999 - December 12, 2007
LPL FINANCIAL LLC
August 17, 1989 - May 11, 1999
CETERA WEALTH SERVICES, LLC
December 12, 1984 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
December 12, 1984 - August 22, 1989
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.
