Raymond H. Schlinkert
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.
Raymond Howard Schlinkert, who also goes by Raymond H Schlinkert, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1985. Raymond had worked at 7 firms and has passed the Series 65, Series 63, SIE 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
May 30, 2007 - December 19, 2016
RAYMOND JAMES & ASSOCIATES, INC.
May 18, 2007 - December 19, 2016
RAYMOND JAMES & ASSOCIATES, INC.
February 21, 2006 - June 1, 2007
CITIGROUP GLOBAL MARKETS INC.
February 21, 2006 - June 1, 2007
CITIGROUP GLOBAL MARKETS INC.
November 17, 2003 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
November 14, 2003 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
May 16, 1996 - November 26, 2003
UBS FINANCIAL SERVICES INC.
November 12, 1993 - November 26, 2003
UBS FINANCIAL SERVICES INC.
September 4, 1990 - November 16, 1993
WELLS FARGO CLEARING SERVICES, LLC
October 3, 1989 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
April 24, 1985 - October 10, 1989
FIFTH THIRD 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
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 | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| 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.
