Lindsay Johns
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.
Lindsay Johns was a registered financial professional .
Lindsay is a previously registered financial professional and started their career in finance in 1992. Lindsay had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2012 - December 31, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 22, 2012 - December 31, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 10, 2006 - March 23, 2012
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 10, 2006 - March 23, 2012
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 1, 1999 - March 10, 2006
WELLS FARGO CLEARING SERVICES, LLC
June 14, 1999 - March 10, 2006
WELLS FARGO CLEARING SERVICES, LLC
November 10, 1997 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
June 1, 1995 - November 14, 1997
UBS FINANCIAL SERVICES INC.
June 13, 1994 - March 28, 1995
ALEX. BROWN & SONS INCORPORATED
April 18, 1994 - May 27, 1994
MERCER SECURITIES, LTD.
May 3, 1993 - February 7, 1994
KIDDER, PEABODY & CO. INCORPORATED
July 21, 1992 - April 21, 1993
LEHMAN BROTHERS 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
Series 7TO
Date: 4/30/2024
General Securities 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.
