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GS

Gregory L. Shipper

Some features on this profile are disabled
CRD#: 2035653
GS

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.

Gregory Lynn Shipper, who also goes by Gregory L Shipper, was a registered financial professional .

Gregory is a previously registered financial professional and started their career in finance in 1990. Gregory had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9, Series 10, Series 24 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gregory L Shipper

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1)Name of Business: Prosperity Bank Address: 5851 Legacy Circle #400, Plano, TX, 75024, United States Activity Type: Bank or Credit Union Associate Position/Title: Associate/Employee Investment Related: Yes Start Date: 01/31/2020 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Financial sales. (2)Name of Business: Prosperity Private Investments Address: 5851 Legacy Circle #400, Plano, TX, 75024, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 01/31/2020 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Investment sales

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 31, 2020 - February 4, 2025

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
Beaumont, TX
Past

January 31, 2020 - February 4, 2025

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
Beaumont, TX
Past

November 16, 2009 - March 2, 2020

COMERICA SECURITIES

RIA
CRD#: 17079
PLANO, TX
Past

November 16, 2009 - March 2, 2020

COMERICA SECURITIES

BD
CRD#: 17079
PLANO, TX
Past

July 13, 2005 - November 4, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
SPRING, TX
Past

July 13, 2005 - November 4, 2009

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
SPRING, TX
Past

July 6, 2005 - July 14, 2005

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
CHICAGO, IL
Past

July 6, 2005 - July 14, 2005

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

August 19, 2004 - July 6, 2005

BANC ONE SECURITIES CORPORATION

RIA
CRD#: 16999
NEW YORK, NY
Past

August 19, 2004 - July 6, 2005

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

September 27, 2001 - June 27, 2005

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
HOUSTON, TX
Past

September 30, 1999 - June 27, 2005

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

July 30, 1998 - September 20, 1999

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

April 3, 1992 - May 7, 1998

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
NAPA, CA
Past

May 7, 1990 - July 29, 1991

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
APPLETON, WI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA
Registered Investment Advisory firm - (12/23/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/27/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/17/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/12/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/3/1990
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/30/2002
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 10/23/2001
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/28/2000
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 12/17/1992
Investment Company Products/Variable Contracts Principal Examination

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA
Registered Investment Advisory firm - (12/23/2008 Approved)
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Contact information

Main Address
880 Carillon Parkway, Saint Petersburg, FL 33716
Mailing Address
Phone number
(727) 567-3020
Established
Firm type
Fiscal year end
# of Employees
6,727

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. WRAP BROCHURE (6/30/2025)
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. FIRM BROCHURE (6/30/2025)

Regulatory assets under management

Total Number of Accounts1,030,208
AUM (Assets Under Management)$ 344,868,106,925

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/12/2025
Cover Page
Report
08/21/2024
Cover Page
Report
09/27/2023
Cover Page
Report

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.

Company Information

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Financial AdvisorCRD#: 149018

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Contact information

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