Carol L. Dogans
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.
Carol Lynn Dogans, AIF®, who also goes by Carol Lynn Mcbeth Ms, Carol Lynn Mcbeth, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1995. Carol had worked at 9 firms and has passed the 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
December 1, 2025 - December 15, 2025
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 24, 2025 - December 15, 2025
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 1, 2021 - November 21, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
December 1, 2021 - November 21, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
July 13, 2017 - December 3, 2021
LPL FINANCIAL LLC
March 11, 2013 - December 3, 2021
LPL FINANCIAL LLC
January 13, 2005 - December 16, 2011
1ST GLOBAL CAPITAL CORP.
May 3, 1999 - February 2, 2005
AVANTAX INVESTMENT SERVICES, INC.
March 20, 1997 - December 1, 1998
WALNUT STREET SECURITIES, INC.
December 1, 1995 - July 31, 1996
CITISTREET EQUITIES LLC
May 26, 1995 - November 22, 1995
PRUDENTIAL EQUITY GROUP, LLC
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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