Elizabeth M. Schwingendorf
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.
Elizabeth Mary Schwingendorf, who also goes by Elizabeth Mary Hill, Elizabeth Mary Murrian, Elizabeth Mary Storey, Liz Storey, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 1992. Elizabeth had worked at 5 firms and has passed the Series 63, Series 7 and Series 6 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 - May 21, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 31, 2002 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 22, 2002 - May 21, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 4, 2002 - October 21, 2002
IFMG SECURITIES, INC.
December 3, 1998 - September 16, 2002
LPL FINANCIAL LLC
February 1, 1994 - September 16, 2002
LPL FINANCIAL LLC
September 3, 1992 - January 19, 1994
AEGON USA 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.
