Keith M. Gapusan
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.
Keith Michael Gapusan was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1996. Keith had worked at 11 firms and has passed the Series 65, Series 63, 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
January 2, 2009 - August 20, 2009
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
September 6, 2007 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 20, 2007 - August 20, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 9, 2006 - December 31, 2018
ARIZONA WEALTH ADVISORS, LLC
May 16, 2003 - August 21, 2007
LPL FINANCIAL LLC
May 16, 2003 - August 21, 2007
LPL FINANCIAL LLC
February 6, 2002 - May 21, 2003
WELLS FARGO CLEARING SERVICES, LLC
December 14, 2001 - May 21, 2003
WELLS FARGO CLEARING SERVICES, LLC
December 13, 2000 - January 7, 2002
WELLS FARGO INVESTMENTS, LLC
May 5, 2000 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
May 4, 2000 - May 2, 2001
WELLS FARGO SECURITIES INC.
October 20, 1997 - May 26, 2000
PEACOCK, HISLOP, STALEY & GIVEN, INC.
November 15, 1996 - October 10, 1997
MORGAN STANLEY DW INC.
April 9, 1996 - November 11, 1996
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
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.
