Richard A. Vellucci
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 Angelo Vellucci, who also goes by Rich Vellucci, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1993. Richard had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2019 - October 8, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 9, 2017 - October 8, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 30, 2014 - November 13, 2017
LPL FINANCIAL LLC
April 30, 2014 - November 13, 2017
LPL FINANCIAL LLC
November 5, 2012 - May 2, 2014
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 31, 2012 - May 2, 2014
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 16, 2006 - May 8, 2012
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - May 8, 2012
WELLS FARGO CLEARING SERVICES, LLC
September 21, 1993 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, 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.
