Deborah A. Hassan
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 Ann Hassan, who also goes by Debbie A Allgood, Deborah Ann Allgood, Debbie A Hassan, Deborah A Hassan, was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 1989. Deborah had worked at 11 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 1, 2019 - November 28, 2023
RAYMOND JAMES & ASSOCIATES, INC.
March 6, 2019 - November 28, 2023
RAYMOND JAMES & ASSOCIATES, INC.
March 24, 2017 - March 8, 2019
TRUIST ADVISORY SERVICES, INC.
March 22, 2017 - March 8, 2019
TRUIST INVESTMENT SERVICES, INC.
October 16, 2015 - February 15, 2017
CETERA INVESTMENT ADVISERS LLC
October 16, 2015 - February 15, 2017
CETERA INVESTMENT SERVICES LLC
May 14, 2014 - October 22, 2015
TRUIST INVESTMENT SERVICES, INC.
May 9, 2014 - October 22, 2015
TRUIST INVESTMENT SERVICES, INC.
June 30, 2005 - November 22, 2013
TRUIST INVESTMENT SERVICES, INC.
June 30, 2005 - November 22, 2013
TRUIST INVESTMENT SERVICES, INC.
March 24, 2003 - June 30, 2005
TRUIST SECURITIES, INC.
November 6, 2002 - June 30, 2005
TRUIST SECURITIES, INC.
May 16, 2000 - November 19, 2002
UBS FINANCIAL SERVICES INC.
July 14, 1999 - April 12, 2000
CIBC WORLD MARKETS CORP.
November 22, 1995 - October 5, 1998
JWGENESIS SECURITIES, INC.
March 4, 1994 - January 4, 1996
JOSEPHTHAL & CO., INC.
November 1, 1991 - November 13, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 22, 1989 - August 28, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
