Jean T. Panarello
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.
Jean Theresa Panarello, who also goes by Jean Theresa Rathmann, Jean Theresa Tucker, was a registered financial professional .
Jean is a previously registered financial professional and started their career in finance in 1987. Jean had worked at 12 firms and has passed the Series 63, SIE 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
April 11, 2022 - February 10, 2023
RAYMOND JAMES & ASSOCIATES, INC.
January 11, 2013 - April 12, 2022
MORGAN STANLEY
February 22, 2005 - January 22, 2013
UBS FINANCIAL SERVICES INC.
February 18, 2005 - January 22, 2013
UBS FINANCIAL SERVICES INC.
November 29, 1999 - February 25, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 24, 1999 - February 25, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 1993 - July 31, 1995
CITIGROUP GLOBAL MARKETS INC.
July 12, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
May 5, 1993 - June 28, 1993
CIBC WORLD MARKETS CORP.
September 30, 1992 - April 15, 1993
CITIGROUP GLOBAL MARKETS INC.
September 3, 1991 - September 11, 1992
CITIGROUP GLOBAL MARKETS INC.
September 29, 1989 - August 16, 1991
JW GENESIS CLEARING CORP.
June 12, 1989 - September 13, 1991
ROBYNS CAPITAL CORP.
March 28, 1989 - June 26, 1989
HASAN GROWNEY CO. INC.
November 22, 1988 - April 13, 1989
VANDERBILT SECURITIES, INC.
September 24, 1987 - December 12, 1988
GREENTREE SECURITIES CORP.
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.
