Mary Ellen B. Miele
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.
Mary Ellen Breen Miele, who also goes by Maryellen Ceclia Breen, Mary Ellen Kelly, Mary Ellen B Kelly, Mary Ellen Breen Kelly, Maryellen B Kelly, Maryellen Cecelia Kelly, was a registered financial professional .
Mary Ellen is a previously registered financial professional and started their career in finance in 1994. Mary Ellen had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2013 - February 1, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 1, 2013 - February 1, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 7, 2011 - February 25, 2013
MORGAN STANLEY
June 1, 2009 - February 25, 2013
MORGAN STANLEY
September 7, 2001 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 6, 1997 - September 10, 2001
MORGAN STANLEY DW INC.
June 20, 1994 - June 18, 1997
CHARLES SCHWAB & CO., 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 8
Date: 9/9/1996
General Securities Sales Supervisor Examination (Options Module & General Module)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.
