Masumi H. Tripoli
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.
Masumi Hiroyasu Tripoli, CFP®, who also goes by Masumi Hiroyasu, Masumi Hlroyasu Tripoli, Masumi Tripoli, was a registered financial professional .
Masumi is a previously registered financial professional and started their career in finance in 1989. Masumi had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 22 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
April 11, 2012 - June 4, 2025
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 15, 2012 - June 4, 2025
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 21, 2002 - April 12, 2012
LPL FINANCIAL LLC
March 18, 2002 - April 12, 2012
LPL FINANCIAL LLC
January 23, 2002 - March 21, 2002
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 1, 1998 - March 21, 2002
OSAIC FA, INC.
August 2, 1989 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, 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.
