Richard E. Payne
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 Eugene Payne was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1992. Richard had worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 26, 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
July 3, 2018 - April 7, 2026
RAYMOND JAMES & ASSOCIATES, INC.
July 3, 2018 - April 7, 2026
RAYMOND JAMES & ASSOCIATES, INC.
April 15, 2014 - July 6, 2018
MML INVESTORS SERVICES, LLC
February 10, 2014 - July 6, 2018
MML INVESTORS SERVICES, LLC
July 10, 2013 - January 10, 2014
PARK AVENUE SECURITIES LLC
June 4, 2013 - January 10, 2014
PARK AVENUE SECURITIES LLC
May 14, 2010 - December 19, 2012
MML INVESTORS SERVICES, LLC
March 17, 2010 - December 19, 2012
MML INVESTORS SERVICES, LLC
May 22, 2009 - January 20, 2010
CHASE INVESTMENT SERVICES CORP.
May 11, 2009 - January 20, 2010
CHASE INVESTMENT SERVICES CORP.
February 3, 2004 - April 14, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 9, 2003 - April 14, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 17, 2001 - August 12, 2002
U.S. GLOBAL BROKERAGE, INC.
March 12, 2001 - December 11, 2001
CITIGROUP GLOBAL MARKETS INC.
February 22, 1994 - January 19, 2001
CITICORP INVESTMENT SERVICES
August 24, 1992 - January 14, 1994
MORGAN STANLEY DW 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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent 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 | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| KONEFAL, RICHARD EUGENE | DIRECTOR | 2431960 |
| 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 | 1,143,145 |
| AUM (Assets Under Management) | $ 500,955,604,975 |
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.
