Dionne L. Ouellette-lummus
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.
Dionne Lynn Ouellette-lummus, who also goes by Dionne Lynn Lummus, Dionne Lummus, Dionne Lynn Ouellette, Dionne Ouellette-lummus, was a registered financial professional .
Dionne is a previously registered financial professional and started their career in finance in 1992. Dionne had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2016 - March 31, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 25, 2016 - March 31, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 11, 2015 - September 18, 2015
SIERRA PACIFIC SECURITIES, LLC
December 12, 2003 - July 1, 2004
UST SECURITIES CORP.
March 25, 2000 - March 6, 2003
MORGAN STANLEY & CO. LLC
July 8, 1998 - November 15, 1999
MORGAN STANLEY DW INC.
October 3, 1994 - July 20, 1998
PIPER SANDLER & CO.
April 14, 1994 - October 20, 1994
UBS FINANCIAL SERVICES INC.
June 17, 1992 - August 27, 1992
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
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.
