Colleen A. Marusich
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.
Colleen Ann Marusich, who also goes by Colleen Kalupy Hauser, Colleen Kalupy, Colleen Kalupy Marusich, was a registered financial professional .
Colleen is a previously registered financial professional and started their career in finance in 1989. Colleen had worked at 5 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2013 - May 2, 2014
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 22, 2013 - May 2, 2014
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 3, 2011 - March 19, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - March 19, 2012
WELLS FARGO CLEARING SERVICES, LLC
May 9, 2006 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
May 9, 2006 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
January 4, 2005 - May 4, 2005
WELLS FARGO INVESTMENTS, LLC
April 19, 2002 - January 3, 2005
WELLS FARGO INVESTMENTS, LLC
January 7, 2002 - May 4, 2005
WELLS FARGO INVESTMENTS, LLC
December 7, 1989 - April 2, 1996
FIRSTAR INVESTMENT SERVICES,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.
