Deborah J. Koller
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.
Deborah Jean Koller was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 1991. Deborah had worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 7, 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
June 23, 2011 - March 25, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 22, 2011 - March 25, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 7, 2008 - June 13, 2011
EDWARD JONES
October 24, 1995 - June 13, 2011
EDWARD JONES
July 21, 1994 - October 23, 1995
INVEST FINANCIAL CORPORATION
March 4, 1993 - October 30, 1995
FMB INVESTMENT SERVICES
August 26, 1991 - March 8, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 26, 1991 - March 8, 1993
EQUITABLE ADVISORS, 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
Series 7TO
Date: 3/25/2024
General Securities Representative ExaminationSeries 6TO
Date: 3/25/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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.
