Frank J. Fedziuk
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.
Frank Joseph Fedziuk was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1969. Frank had worked at 13 firms and has passed the Series 63, Series 5, Series 1 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
February 13, 2013 - December 5, 2013
RAYMOND JAMES & ASSOCIATES, INC.
September 3, 2002 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
March 1, 2002 - March 6, 2002
ABN AMRO INCORPORATED
April 30, 2001 - March 1, 2002
ABN AMRO SECURITIES LLC
March 4, 1997 - April 30, 2001
ABN AMRO INCORPORATED
December 21, 1994 - April 14, 1997
UBS FINANCIAL SERVICES INC.
February 27, 1992 - January 10, 1995
KIDDER, PEABODY & CO. INCORPORATED
March 8, 1991 - March 3, 1992
TUCKER ANTHONY INCORPORATED
March 2, 1987 - January 22, 1991
SBC WARBURG DILLON READ INC.
June 24, 1986 - March 6, 1987
JEFFERIES LLC
November 25, 1983 - May 28, 1986
PRUDENTIAL EQUITY GROUP, LLC
January 18, 1982 - May 17, 1984
E. F. HUTTON & COMPANY INC
September 26, 1978 - December 7, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 2, 1969 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
Series 5
Date: 10/31/1981
Interest Rate Options ExaminationSeries 1
Date: 5/27/1969
Registered Representative ExaminationCurrent 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.
