Marie H. Silverman
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.
Marie Hart Silverman, who also goes by Marie Walter Hart, Marie Hart, Marie Walter Hartsilverman, Marie Walters, was a registered financial professional .
Marie is a previously registered financial professional and started their career in finance in 1973. Marie had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1 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
January 2, 2009 - April 11, 2025
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 28, 1997 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 9, 1989 - April 11, 2025
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 3, 1988 - November 15, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
June 22, 1987 - November 3, 1988
CHRISTOPHER WEIL & COMPANY, INC
January 4, 1979 - July 1, 1987
SUTRO & CO. INCORPORATED
March 15, 1973 - February 22, 1979
E. F. HUTTON & COMPANY 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: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 3/8/1973
Registered 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.
