Richard B. Fishel
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.
Richard Barry Fishel, CIMA®, who also goes by Rick Fishel, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1985. Richard had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 15, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2009 - October 20, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 31, 2009 - October 20, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 1, 2009 - August 4, 2009
MORGAN STANLEY
June 1, 2009 - August 4, 2009
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 27, 1992 - April 2, 2007
MORGAN STANLEY DW INC.
April 27, 1992 - April 2, 2007
MORGAN STANLEY DW INC.
September 25, 1985 - April 28, 1992
A. G. EDWARDS & SONS, 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 15
Date: 10/22/1985
Foreign Currency Options ExaminationSeries 8
Date: 7/5/1990
General Securities Sales Supervisor Examination (Options Module & General Module)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.
