Antone J. Gatherum
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.
Antone James Gatherum was a registered financial professional .
Antone is a previously registered financial professional and started their career in finance in 1993. Antone had worked at 10 firms and has passed the Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2021 - July 21, 2023
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 29, 2021 - July 21, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 11, 2015 - December 2, 2021
SECURITY FIRST ADVISORS CORVALLIS, INC.
October 11, 2010 - March 1, 2021
GENEOS WEALTH MANAGEMENT, INC.
September 30, 2010 - March 1, 2021
GENEOS WEALTH MANAGEMENT, INC.
March 3, 2003 - October 11, 2010
SECURITIES AMERICA ADVISORS, INC.
February 26, 2003 - October 11, 2010
SECURITIES AMERICA, INC.
October 16, 1998 - January 14, 2000
VALIC FINANCIAL ADVISORS, INC.
January 2, 1997 - February 27, 2003
SECURITIES SERVICE NETWORK, LLC
December 20, 1996 - January 14, 2000
THE VARIABLE ANNUITY MARKETING COMPANY
August 3, 1994 - March 12, 2003
SECURITY FIRST ADVISORS
July 21, 1993 - January 4, 1997
SECURITIES AMERICA, 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.
