Thaddeus W. Kopec
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.
Thaddeus William Kopec, who also goes by Thad Kopec, was a registered financial professional .
Thaddeus is a previously registered financial professional and started their career in finance in 1985. Thaddeus had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 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 - December 31, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
September 8, 2005 - October 10, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 26, 2000 - December 31, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 15, 1994 - June 9, 2000
UBS FINANCIAL SERVICES INC.
March 3, 1989 - May 17, 1994
BARNETT INVESTMENTS, INC.
December 23, 1987 - April 15, 1989
BARNETT BOND SERVICE, INC.
January 23, 1985 - September 1, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
