Tiffany D. Peacock-asakawa
Professional summary
Tiffany Danielle Peacock-asakawa was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Tiffany Danielle Peacock-asakawa, who also goes by Tiffany Asakawapeacock, Tiffany Danielle Peacock, Tiffany Peacock-asakawa, Tiffany Peacockasakawa, was a registered financial advisor .
Tiffany is a previously registered financial advisor and started their career in finance in 1991. Tiffany had worked at 4 firms and has passed the Series 66, Series 65, Series 63, 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
September 27, 2012 - September 20, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
September 21, 2012 - September 20, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 24, 2001 - September 24, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 24, 2001 - September 24, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 8, 1991 - January 11, 2001
PRUDENTIAL EQUITY GROUP, LLC
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
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