Debra S. Brough
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.
Debra Settle Brough, who also goes by Debbi Settle, Debra Bernice Settle, was a registered financial professional .
Debra is a previously registered financial professional and started their career in finance in 1985. Debra had worked at 14 firms and has passed the Series 65, Series 63, Series 22TO, SIE, Series 7, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2016 - June 7, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 18, 2016 - June 7, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 31, 2016 - May 29, 2020
JACKSON ROSKELLEY WEALTH ADVISORS, INC.
September 17, 2015 - April 29, 2016
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
September 1, 2015 - April 29, 2016
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 24, 2014 - August 4, 2015
WELLS FARGO CLEARING SERVICES, LLC
May 16, 2014 - August 4, 2015
WELLS FARGO CLEARING SERVICES, LLC
July 8, 2009 - January 7, 2013
EAGLE STRATEGIES LLC
May 22, 2002 - May 13, 2009
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
July 26, 1999 - January 7, 2013
NYLIFE DISTRIBUTORS LLC
August 15, 1996 - January 24, 2002
NYLIFE SECURITIES LLC
January 3, 1996 - June 26, 1996
MML INVESTORS SERVICES, LLC
July 1, 1991 - December 31, 1993
LORD & KENDYLL INVESTMENTS, INC.
March 30, 1987 - January 26, 1988
AUGUST MARKETING CORPORATION
September 4, 1985 - July 13, 1989
TITAN/VALUE EQUITIES GROUP, 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
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationCurrent 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 | 1,107,860 |
| AUM (Assets Under Management) | $ 390,042,864,529 |
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.
