Cheramie A. Oconnor
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.
Cheramie A Oconnor, who also goes by Cheramie Ann Cargill, Cheramine Ann Cargill, Cheramie Ann Carroll, Cheramine Ann Carroll, Cheramie A O'connor, Cheramie Ann Oconnor, was a registered financial professional .
Cheramie is a previously registered financial professional and started their career in finance in 1995. Cheramie had worked at 7 firms and has passed the Series 66, 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
February 9, 2022 - February 17, 2023
RAYMOND JAMES & ASSOCIATES, INC.
February 9, 2022 - February 17, 2023
RAYMOND JAMES & ASSOCIATES, INC.
September 1, 2016 - January 5, 2021
RAYMOND JAMES & ASSOCIATES, INC.
August 3, 2016 - January 5, 2021
RAYMOND JAMES & ASSOCIATES, INC.
April 18, 2012 - August 18, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 17, 2012 - August 18, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 9, 2010 - April 17, 2012
MORGAN STANLEY
November 8, 2010 - April 17, 2012
MORGAN STANLEY
August 21, 2009 - May 7, 2010
STRATEGIC WEALTH MANAGEMENT GROUP, INC.
July 14, 2009 - April 30, 2010
PURSHE KAPLAN STERLING INVESTMENTS
May 13, 1999 - July 3, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 12, 1999 - July 3, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 30, 1995 - April 23, 1999
LEGG MASON WOOD WALKER, INCORPORATED
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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 & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
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.
