Carol A. Whitlock
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.
Carol Ann Whitlock, who also goes by Carol Ann Bouchard, Carol Ann Clancy, Carol Ann Sutton, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1996. Carol had worked at 7 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2013 - February 14, 2014
RAYMOND JAMES & ASSOCIATES, INC.
July 10, 2013 - February 14, 2014
RAYMOND JAMES & ASSOCIATES, INC.
August 1, 2012 - July 2, 2013
BMO HARRIS FINANCIAL ADVISORS, INC.
August 1, 2012 - July 2, 2013
BMO HARRIS FINANCIAL ADVISORS, INC.
April 20, 2012 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
July 15, 2011 - April 18, 2012
M&I INVESTMENT MANAGEMENT CORP.
January 23, 2008 - March 31, 2010
M&I FINANCIAL ADVISORS, INC
January 4, 2008 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
September 21, 2006 - August 31, 2007
FIFTH THIRD SECURITIES, INC.
September 11, 2006 - August 31, 2007
FIFTH THIRD SECURITIES, INC.
May 31, 2005 - August 25, 2006
MORGAN STANLEY DW INC.
May 27, 2005 - August 25, 2006
MORGAN STANLEY DW INC.
June 20, 1996 - June 2, 2005
TRUIST INVESTMENT SERVICES, INC.
June 18, 1996 - June 2, 2005
TRUIST INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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 & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
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.
