Dennis Carr
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.
Dennis Carr, who also goes by Denny Carr, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1988. Dennis had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2015 - November 17, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 20, 2015 - November 17, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 3, 2012 - March 10, 2015
SCHWAB WEALTH ADVISORY, INC.
December 8, 1998 - December 31, 2011
CHARLES SCHWAB & CO., INC.
January 1, 1990 - March 10, 2015
CHARLES SCHWAB & CO., INC.
December 20, 1988 - May 23, 1989
BLINDER, ROBINSON & CO., INC.
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.
