Robert K. Luna
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.
Robert Keith Luna, who also goes by Bob Luna, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - June 1, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 31, 2005 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 18, 2005 - June 1, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 16, 2004 - February 18, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - February 18, 2005
WELLS FARGO CLEARING SERVICES, LLC
June 22, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
January 23, 1986 - June 14, 2000
J.C. BRADFORD & CO.
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.
