Rosemarie Wittmann-smith
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.
Rosemarie Wittmann-smith, who also goes by Rosemarie Wittmann Smith, Rosemarie Smith, Rosemarie Snetsinger, Rosemarie Wittmann, was a registered financial professional .
Rosemarie is a previously registered financial professional and started their career in finance in 2000. Rosemarie had worked at 6 firms and has passed the Series 66, 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
July 29, 2014 - June 11, 2015
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 17, 2014 - June 11, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 8, 2013 - June 16, 2014
WELLS FARGO CLEARING SERVICES, LLC
April 7, 2011 - December 10, 2012
WELLS FARGO CLEARING SERVICES, LLC
October 5, 2010 - June 16, 2014
WELLS FARGO CLEARING SERVICES, LLC
January 23, 2006 - September 16, 2010
RBC CAPITAL MARKETS, LLC
September 2, 2003 - January 24, 2006
A. G. EDWARDS & SONS, INC.
March 17, 2000 - September 11, 2003
WELLS FARGO INVESTMENTS, 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.
