Deborah A. Freeman
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.
Deborah Ann Freeman, who also goes by Deborah Ann Cole, Deborah A Freeman, Deborah Freeman, was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 1994. Deborah had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, 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 11, 2018 - April 12, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
December 6, 2018 - April 12, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 21, 2018 - November 21, 2018
PRUCO SECURITIES, LLC.
June 7, 2018 - November 21, 2018
PRUCO SECURITIES, LLC.
September 12, 2016 - January 3, 2018
TRUIST ADVISORY SERVICES, INC.
December 1, 2015 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
August 3, 2015 - January 3, 2018
TRUIST INVESTMENT SERVICES, INC.
June 5, 2003 - August 4, 2015
FIRST HORIZON ADVISORS, INC.
November 5, 2002 - December 12, 2002
SIGNATOR INVESTORS, INC.
June 29, 2000 - November 6, 2001
GOLDMAN SACHS & CO. LLC
June 9, 1997 - December 23, 1999
MORGAN STANLEY DW INC.
August 9, 1994 - June 17, 1997
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 | 1,030,208 |
| 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.
