Harolyn A. 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.
Harolyn Ann Smith, who also goes by Harolyn Huttash, Harry Smith, Huttash Teel Smith, Harolyn Ann Teel, was a registered financial professional .
Harolyn is a previously registered financial professional and started their career in finance in 1986. Harolyn had worked at 10 firms and has passed the Series 63, SIE, Series 3 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
January 2, 2009 - June 25, 2025
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 23, 2008 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 20, 2008 - June 25, 2025
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 2, 2007 - June 23, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 23, 2008
MORGAN STANLEY & CO. LLC
February 13, 1997 - April 2, 2007
MORGAN STANLEY DW INC.
February 12, 1997 - April 2, 2007
MORGAN STANLEY DW INC.
September 23, 1996 - November 5, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 3, 1994 - September 27, 1995
CUNA BROKERAGE SERVICES, INC.
April 20, 1992 - December 31, 1993
MEMBERS INVESTMENT SERVICES, INC.
June 14, 1991 - April 23, 1992
T.L. SMITH SECURITIES
February 23, 1990 - April 4, 1990
ADAMS SECURITIES, INC.
May 7, 1986 - September 9, 1989
MORGAN STANLEY DW INC.
March 20, 1986 - May 21, 1986
LEHMAN BROTHERS 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
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.
