Scott D. Peisner
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.
Scott David Peisner was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1991. Scott had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 53, Series 4 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
January 31, 2014 - October 1, 2015
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 24, 2014 - October 1, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 10, 2011 - January 27, 2012
RAYMOND JAMES (USA) LTD.
May 5, 2009 - February 3, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 26, 2005 - December 31, 2006
RAYMOND JAMES & ASSOCIATES, INC.
December 8, 2004 - October 10, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 22, 1994 - February 3, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 13, 1991 - November 30, 1994
RAYMOND JAMES & ASSOCIATES, 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.
