Gloria A. Fern

Some features on this profile are disabled

CRD#: 1432484

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.

Gloria Ann Fern was a registered financial professional .

Gloria is a previously registered financial professional and started their career in finance in 1986. Gloria had worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) BRIDGEWAY WEALTH SERVICES LLC:NOT INVESTMENT RELATED:7/2009-PRESENT:EAGLE, ID: SUPPORT COMPANY/DBA (NON-OWNER):0 HRS/MO:0 HRS DURING TRADING:REGISTERED FINANCIAL ASSOCIATE. 2) Name of Business : Gloria Fern Idaho Real Estate Agent (Inactive) Address: Meridian, ID Nature of the Business: Real Estate Brokerage/Agent or Development Position/Title: Agent Investment Related: Yes Start Date: 07/02/2009 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I am not soliciting business. I help family. My Idaho Real Estate license is inactive.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 30, 2009 - May 10, 2022

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

EAGLE, ID

Past

July 2, 2009 - May 10, 2022

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

EAGLE, ID

Past

March 25, 2008 - May 8, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BOISE, ID

Past

July 7, 1998 - May 8, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BOISE, ID

Past

November 6, 1992 - August 26, 1998

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

June 26, 1991 - November 4, 1992

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

November 3, 1989 - February 4, 1992

BRITSON INVESTMENTS, INC.

CRD#: 14328

Past

October 1, 1987 - October 4, 1989

LINSCO FINANCIAL GROUP, INC.

CRD#: 524

Past

May 21, 1986 - October 6, 1987

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/22/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/3/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/17/1986

General Securities Representative Examination

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

880 Carillon Parkway, Saint Petersburg, FL 33716

Mailing Address

Phone number

(727) 567-3020

Established

Firm type

Fiscal year end

# of Employees

6,727

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. WRAP BROCHURE (6/30/2025)

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. FIRM BROCHURE (6/30/2025)

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	Cover Page	Report
08/21/2024	Cover Page	Report
09/27/2023	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Gloria A. Fern

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

PRUDENTIAL EQUITY GROUP, LLC

BRITSON INVESTMENTS, INC.

LINSCO FINANCIAL GROUP, INC.

CETERA WEALTH SERVICES, LLC

Primary Firm SEC Registration

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/22/2008

Series 63

Date: 8/3/1991

SIE

Date: 10/1/2018

Series 7

Date: 5/17/1986

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

TRUST BUT VERIFY

Similar Advisors