Richard J. Quay
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.
Richard James Quay, who also goes by Rich Quay, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1992. Richard had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2016 - December 31, 2017
RAYMOND JAMES & ASSOCIATES, INC.
August 28, 2014 - February 26, 2020
RAYMOND JAMES & ASSOCIATES, INC.
March 2, 2010 - August 27, 2014
MORGAN STANLEY
June 1, 2009 - August 27, 2014
MORGAN STANLEY
December 7, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 9, 2007 - December 17, 2007
UBS FINANCIAL SERVICES INC.
May 14, 1999 - February 9, 2007
KEYBANC CAPITAL MARKETS INC.
March 22, 1999 - May 14, 1999
KEY INVESTMENTS INC.
November 22, 1996 - March 19, 1997
AMERICAN FRONTEER FINANCIAL CORPORATION
April 18, 1996 - November 21, 1996
BARRON CHASE SECURITIES, INC.
April 13, 1994 - April 25, 1996
JOSEPHTHAL & CO., INC.
June 29, 1992 - April 21, 1994
MATHEWS, HOLMQUIST & ASSOCIATES, INC.
February 24, 1992 - June 27, 1992
J. W. GANT & ASSOCIATES, 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
Current 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.
