Catherine L. Eliseo
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.
Catherine Louise Eliseo, who also goes by Cathey Eliseo, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1996. Catherine had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 53 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
February 27, 2013 - August 22, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 1, 2013 - August 22, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 31, 2011 - August 27, 2012
RUGGIE WEALTH MANAGEMENT
June 17, 2010 - January 3, 2012
PURSHE KAPLAN STERLING INVESTMENTS
June 4, 2004 - October 7, 2009
LPL FINANCIAL LLC
September 12, 2001 - June 9, 2004
WS GRIFFITH SECURITIES, INC.
October 23, 2000 - July 5, 2001
CHARLES SCHWAB & CO., INC.
May 27, 1997 - September 20, 2000
MORGAN STANLEY DW INC.
February 22, 1996 - May 21, 1997
INTERNATIONAL ASSETS ADVISORY, 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.
