Alfred M. Harrington
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.
Alfred Merle Harrington was a registered financial professional .
Alfred is a previously registered financial professional and started their career in finance in 1987. Alfred had worked at 6 firms and has passed the Series 63 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 - December 18, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 12, 2005 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 28, 2005 - December 18, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 12, 2003 - May 11, 2005
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
July 24, 2003 - May 11, 2005
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
December 31, 2001 - July 28, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 12, 1990 - July 28, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 30, 1989 - October 22, 1990
PRUDENTIAL EQUITY GROUP, LLC
August 25, 1989 - October 22, 1990
PRUDENTIAL EQUITY GROUP, LLC
February 24, 1988 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
July 22, 1987 - February 24, 1988
CAROLINA SECURITIES CORPORATION
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.
