David S. Fiedler
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.
David Scott Fiedler, who also goes by Dave Fiedler, David S Fiedler, David Scott Fiedler, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 6 firms and has passed the Series 66, 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
October 31, 2018 - November 27, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 25, 2018 - November 27, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 30, 2018 - June 26, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 2, 2018 - June 26, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 14, 2005 - January 30, 2018
ADVANTAGE SECURITIES LLC
June 10, 2002 - January 7, 2004
MIZUHO SECURITIES USA LLC
April 30, 2001 - March 23, 2002
FUJI FUTURES INC.
November 12, 1998 - November 18, 1999
MIZUHO SECURITIES USA 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 | 1,030,208 |
| 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.
