Dean E. Fink
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.
Dean Edwin Fink was a registered financial professional .
Dean is a previously registered financial professional and started their career in finance in 1987. Dean had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 2009 - June 18, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 23, 2004 - October 10, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 31, 2003 - June 18, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 7, 1994 - February 5, 2003
ROBERT W. BAIRD & CO. INCORPORATED
December 21, 1988 - February 1, 1994
FIFTH THIRD SECURITIES, INC.
December 16, 1987 - July 6, 1988
J. B. HANAUER & CO.
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.
