Richard H. Koprucki
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 Henry Koprucki was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1973. Richard had worked at 8 firms and has passed the Series 63, SIE, Series 5, PC, Series 1 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
September 20, 2018 - December 31, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
September 18, 1989 - December 31, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 22, 1977 - October 12, 1989
LEHMAN BROTHERS INC.
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
November 8, 1974 - November 17, 1976
SHEARSON HAYDEN STONE INC.
July 8, 1974 - November 8, 1974
SHEARSON, HAMMILL & CO., INCORPORATED
January 7, 1974 - July 20, 1974
BACHE & CO INCORPORATED
January 23, 1973 - February 10, 1974
S D LUNT & CO
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
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationPC
Date: 6/22/1977
AMEX Put and Call ExamSeries 1
Date: 1/18/1973
Registered Representative ExaminationCurrent 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.
