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MM

Mark W. Mccaw

Some features on this profile are disabled
CRD#: 2194502
MM

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.

Mark Wallace Mccaw, CIMA®, who also goes by Mark Mccaw, was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 1992. Mark had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7, Series 10, Series 9 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mark Mccaw

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 : McCaw & Associates Investment Group LLC Address: Bonita Springs, FL Nature of the Business: Support Company/DBA (Owner) Position/Title: Other Investment Related: Yes Start Date: 11/30/2017 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Branch Owner/Manager 2) Name of Business : Florida Swimming Inc. Address: Estero, FL Nature of the Business: Non Profit Org. - Founder/Leadership Position/Title: Officer - Treasurer Investment Related: Yes Start Date: 11/30/2017 Hours per month devoted to this business: 4 Hours per month devoted to this business during trading hours: 0 Description of duties: Review Financial Statements Supervise audit & investment committees 3) ASH Brokerage - Bonita Spgs, FL Nature of the Business: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 8/01/2018 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Completing application and delivering contract

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®
CIMA®

Certified Investment Management Analyst

Experience

Past

December 12, 2017 - July 12, 2023

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
Bonita Springs, FL
Past

November 30, 2017 - July 12, 2023

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
Bonita Springs, FL
Past

November 24, 2008 - December 11, 2017

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
BONITA SPRINGS, FL
Past

November 19, 2008 - December 11, 2017

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
BONITA SPRINGS, FL
Past

April 2, 2007 - November 20, 2008

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
BONITA SPRINGS, FL
Past

April 2, 2007 - November 20, 2008

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
BONITA SPRINGS, FL
Past

October 29, 1999 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
BONITA SPRINGS, FL
Past

October 29, 1999 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
BONITA SPRINGS, FL
Past

January 8, 1992 - November 8, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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: 10/26/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/16/1992
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 3
Date: 1/3/2003
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 31
Date: 7/7/2000
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 1/7/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 8
Date: 7/23/1997
General Securities Sales Supervisor Examination (Options Module & General Module)

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

Branch ManagerCRD#: 149018

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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