Richard A. Jaeckel
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.
Richard Alan Jaeckel was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1967. Richard had worked at 5 firms and has passed the Series 63, PC, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 1992 - December 1, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 24, 1992 - December 1, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 21, 1974 - September 27, 1991
RAYMOND JAMES & ASSOCIATES, INC.
January 2, 1974 - July 12, 1974
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
September 1, 1971 - March 5, 1974
REYNOLDS SECURITIES, INC.
July 5, 1967 - September 5, 1971
E. F. HUTTON & COMPANY INC
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
PC
Date: 10/10/1977
AMEX Put and Call ExamSeries 1
Date: 6/24/1964
Registered Representative ExaminationSeries 40
Date: 7/9/1976
Registered Principal ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
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