Marilla M. Walther
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.
Marilla Marlene Walther, who also goes by Marilla Marlene Enfinger, Marilla Enfinger, Marilla Marlene Newcomb, Marilla Newcomb, Marilla M Walther, Marilla Marlene Walthers, was a registered financial professional .
Marilla is a previously registered financial professional and started their career in finance in 1993. Marilla had worked at 8 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
May 2, 2011 - March 11, 2015
RAYMOND JAMES & ASSOCIATES, INC.
May 2, 2011 - March 11, 2015
RAYMOND JAMES & ASSOCIATES, INC.
April 20, 2010 - February 11, 2011
WELLS FARGO CLEARING SERVICES, LLC
April 20, 2010 - February 11, 2011
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - February 9, 2010
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - February 9, 2010
WELLS FARGO CLEARING SERVICES, LLC
February 24, 2003 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
January 15, 2003 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
November 2, 2001 - January 31, 2003
ASSET & FINANCIAL PLANNING, LTD
September 28, 2001 - January 6, 2003
PRIME CAPITAL SERVICES, INC.
August 6, 1998 - July 14, 2001
PRUDENTIAL EQUITY GROUP, LLC
September 15, 1994 - April 5, 1995
AMUNI FINANCIAL, INC.
February 14, 1994 - September 16, 1994
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
June 2, 1993 - March 1, 1994
FIRST UNION BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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 & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
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.
