Stuart J. Dekker
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.
Stuart James Dekker, who also goes by Stu Dekker, Stuart Dekker, was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1992. Stuart had worked at 10 firms and has passed the Series 65, Series 63, 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
May 18, 2015 - June 19, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 12, 2015 - June 19, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 26, 2012 - May 12, 2014
TRANSAMERICA INVESTORS SECURITIES, LLC
May 17, 2011 - September 18, 2012
CHASE INVESTMENT SERVICES CORP.
April 8, 2011 - September 18, 2012
CHASE INVESTMENT SERVICES CORP.
April 29, 2009 - April 1, 2011
ALLSTATE FINANCIAL SERVICES, LLC
August 27, 2007 - December 17, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 19, 2000 - September 14, 2006
THE O.N. EQUITY SALES COMPANY
October 11, 1996 - June 12, 2000
MUTUAL OF AMERICA SECURITIES LLC
March 29, 1994 - June 12, 2000
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
September 3, 1992 - March 3, 1994
IDS LIFE INSURANCE COMPANY
September 3, 1992 - March 3, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
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.
