Terry A. Clasby
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.
Terry Ann Clasby, who also goes by Terry Ann Clasby, Terry Ann Cook, Terry Clasby, Terry Cook Watkins, was a registered financial professional .
Terry is a previously registered financial professional and started their career in finance in 1994. Terry had worked at 7 firms and has passed the Series 65, 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
June 1, 2021 - December 17, 2021
RAYMOND JAMES & ASSOCIATES, INC.
June 1, 2021 - December 17, 2021
RAYMOND JAMES & ASSOCIATES, INC.
July 12, 2017 - June 2, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 12, 2017 - June 2, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 3, 2012 - June 20, 2017
STEPHENS
January 18, 2011 - June 20, 2017
STEPHENS
June 1, 2009 - January 27, 2011
MORGAN STANLEY
October 4, 2000 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 1, 1998 - September 12, 2000
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 7, 1994 - January 1, 1998
NATIONSSECURITIES
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.
