Royce C. Werner
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.
Royce Carl Werner was a registered financial professional .
Royce is a previously registered financial professional and started their career in finance in 1991. Royce had worked at 16 firms and has passed the Series 65, 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
June 17, 2015 - August 30, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 17, 2015 - August 30, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 14, 2012 - June 18, 2015
FIRST NATIONAL CAPITAL MARKETS
July 30, 2012 - June 18, 2015
FIRST NATIONAL CAPITAL MARKETS
April 19, 2011 - November 16, 2011
THE INSTITUTE
March 25, 2011 - December 9, 2011
INNOVATION PARTNERS LLC
October 4, 2010 - January 24, 2011
KESTRA INVESTMENT SERVICES, LLC
October 29, 2007 - February 10, 2009
PACIFIC SELECT DISTRIBUTORS, LLC
July 2, 2007 - October 24, 2007
DIRECT CAPITAL SECURITIES, INC.
May 24, 2005 - May 3, 2007
QUASAR DISTRIBUTORS, LLC
July 16, 2001 - April 5, 2005
SECURITY DISTRIBUTORS
September 13, 2000 - July 9, 2001
IVY DISTRIBUTORS, INC.
July 25, 1999 - July 25, 2000
ING FUNDS DISTRIBUTOR, INC.
October 9, 1998 - July 19, 1999
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
September 10, 1993 - December 9, 1997
FIRST UNION BROKERAGE SERVICES, INC.
April 16, 1993 - August 17, 1993
GUARDIAN INVESTOR SERVICES LLC
August 27, 1991 - February 24, 1993
WACHOVIA SECURITIES, 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.
