Rita C. Tolman
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.
Rita Calas Tolman, who also goes by Rita Maria Calas, Rita Calas Tolman, Rita Tolman, Rita Wellington, was a registered financial professional .
Rita is a previously registered financial professional and started their career in finance in 1986. Rita had worked at 10 firms and has passed the Series 65, Series 63, SIE 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 20, 2011 - January 11, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 5, 2005 - January 29, 2009
CITIGROUP GLOBAL MARKETS INC.
July 1, 2003 - October 21, 2003
WELLS FARGO CLEARING SERVICES, LLC
May 12, 2003 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 18, 1995 - June 6, 2001
QUICK & REILLY, INC.
April 20, 1992 - August 23, 1995
JOSEPHTHAL & CO., INC.
July 16, 1991 - April 25, 1992
PARAGON CAPITAL MARKETS, INC.
August 11, 1987 - July 16, 1991
J. W. GANT & ASSOCIATES, INC.
November 20, 1986 - July 17, 1987
BLINDER, ROBINSON & CO., INC.
September 24, 1986 - October 22, 1986
FIRST AMERICAN ASSET MANAGEMENT GROUP, INC.
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, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
