Paul S. Ross
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.
Paul Stephen Ross, who also goes by Paul S Ross, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1994. Paul had worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, 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
May 14, 2009 - April 1, 2026
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 1, 2007 - October 13, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 23, 2007 - April 1, 2026
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 23, 2005 - July 25, 2007
WELLS FARGO CLEARING SERVICES, LLC
August 19, 2002 - July 25, 2007
WELLS FARGO CLEARING SERVICES, LLC
December 18, 2000 - August 19, 2002
HIGH MARK SECURITIES, INC.
December 17, 1999 - February 23, 2001
PROTECTIVE GROUP SECURITIES CORPORATION
May 4, 1999 - July 12, 1999
CITIGROUP GLOBAL MARKETS INC.
January 6, 1994 - May 12, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 | 1,107,860 |
| AUM (Assets Under Management) | $ 390,042,864,529 |
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.
Company Information
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Financial AdvisorCRD#: 149018TRUST BUT VERIFY
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