Robert J. Herold
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.
Robert John Herold, who also goes by Bob Herold, Robert Herold, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1993. Robert had worked at 7 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 31, Series 7 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2010 - February 16, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 7, 2010 - February 16, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 24, 2004 - May 11, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 7, 2004 - May 11, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 18, 2004 - May 20, 2004
QUICK & REILLY, INC.
September 5, 1995 - April 16, 1996
CHEMICAL INVESTMENT SERVICES CORP.
July 31, 1993 - August 29, 1995
CITIGROUP GLOBAL MARKETS INC.
February 3, 1993 - July 31, 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 2
Date: 6/25/1996
Non-Member General Securities 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.
