Michael C. Cupell
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.
Michael Cecil Cupell, who also goes by Mike Cupell, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2016 - December 31, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 18, 2016 - December 31, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 22, 2010 - December 31, 2016
JACKSON ROSKELLEY WEALTH ADVISORS, INC.
March 28, 2005 - April 29, 2016
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
February 8, 2005 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 31, 2005 - April 29, 2016
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 7, 2004 - February 1, 2005
METROPOLITAN LIFE INSURANCE COMPANY
June 7, 2004 - February 1, 2005
MSI FINANCIAL SERVICES, INC.
October 27, 1999 - June 9, 2004
WS GRIFFITH SECURITIES, INC.
April 24, 1997 - December 16, 1999
SECURIAN FINANCIAL SERVICES, INC.
October 12, 1990 - April 25, 1997
THE ADVISORS GROUP, INC.
October 21, 1986 - December 14, 1990
NYLIFE SECURITIES LLC
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.
