Carr M. Black
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.
Carr Marion Black, who also goes by Marion Black, was a registered financial professional .
Carr is a previously registered financial professional and started their career in finance in 1973. Carr had worked at 8 firms and has passed the Series 63, PC, Series 1, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - March 12, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 8, 2003 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 11, 1989 - March 12, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 11, 1989 - October 17, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
December 4, 1979 - January 14, 1989
UBS FINANCIAL SERVICES INC.
October 29, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
February 24, 1978 - September 21, 1978
MORGAN STANLEY DW INC.
August 30, 1977 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
March 16, 1973 - August 25, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
PC
Date: 6/1/1978
AMEX Put and Call ExamSeries 1
Date: 3/12/1973
Registered Representative ExaminationCurrent 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.
