Lucinda J. Arlt
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.
Lucinda June Arlt, who also goes by Cindy J Arlt, Lucinda (cindy) J Arlt, Lucinda (cindy) June Arlt, Cindy J Heuer, Cindy J. Heuer ^, Cindy Heuer, Lucinda June Heuer ^, Lucinda June Heuer, was a registered financial professional .
Lucinda is a previously registered financial professional and started their career in finance in 1985. Lucinda had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 51 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
December 9, 2013 - April 6, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 26, 2007 - April 6, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 28, 2007 - November 27, 2007
OSAIC SERVICES, INC.
October 31, 2005 - November 27, 2007
OSAIC SERVICES, INC.
May 24, 1991 - October 31, 2005
SUNAMERICA SECURITIES, INC.
October 31, 1990 - May 8, 1991
UBS FINANCIAL SERVICES INC.
January 19, 1990 - October 26, 1990
KAVANAUGH SECURITIES, INC.
November 7, 1989 - February 3, 1990
TITAN/VALUE EQUITIES GROUP, INC.
May 4, 1989 - November 7, 1989
VALUE EQUITIES CORPORATION
July 24, 1985 - May 9, 1989
CAPITAL MANAGEMENT SECURITIES, INC.
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.
