Toni M. Dotson
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.
Toni Michelle Dotson, who also goes by Toni Michelle Barron, Toni Michelle Reed, Toni Michelle Zigo, was a registered financial professional .
Toni is a previously registered financial professional and started their career in finance in 1999. Toni had worked at 12 firms and has passed the Series 65, Series 63, SIE 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
September 9, 2013 - July 29, 2015
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 28, 2013 - July 29, 2015
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 28, 2012 - August 21, 2013
PNC WEALTH MANAGEMENT LLC
March 27, 2012 - August 21, 2013
PNC WEALTH MANAGEMENT LLC
December 20, 2010 - March 21, 2012
LPL FINANCIAL LLC
December 17, 2010 - March 21, 2012
LPL FINANCIAL LLC
March 26, 2009 - December 17, 2010
CHASE INVESTMENT SERVICES CORP.
March 25, 2009 - December 17, 2010
CHASE INVESTMENT SERVICES CORP.
August 7, 2007 - March 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 3, 2007 - March 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 25, 2007 - August 9, 2007
FIFTH THIRD SECURITIES, INC.
July 18, 2006 - August 9, 2007
FIFTH THIRD SECURITIES, INC.
January 3, 2006 - July 10, 2006
KEY INVESTMENT SERVICES LLC
January 3, 2006 - July 10, 2006
KEY INVESTMENT SERVICES LLC
December 6, 2005 - December 31, 2005
KEYBANC CAPITAL MARKETS INC.
December 6, 2005 - December 31, 2005
KEYBANC CAPITAL MARKETS INC.
July 6, 2005 - December 6, 2005
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - December 6, 2005
CHASE INVESTMENT SERVICES CORP.
November 17, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
November 14, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
May 23, 2002 - November 4, 2003
KEYBANC CAPITAL MARKETS INC.
August 14, 2000 - May 24, 2002
UBS FINANCIAL SERVICES INC.
August 23, 1999 - August 14, 2000
J.C. BRADFORD & CO.
January 19, 1999 - August 20, 1999
UBS FINANCIAL SERVICES 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.
