Joyce Heard
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.
Joyce Heard, who also goes by Joyce Stevens, was a registered financial professional .
Joyce is a previously registered financial professional and started their career in finance in 1997. Joyce had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2009 - July 8, 2025
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 26, 2004 - October 10, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 27, 2004 - July 8, 2025
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 20, 2001 - August 31, 2004
KESTRA INVESTMENT SERVICES, LLC
February 5, 1999 - July 23, 2001
FFP SECURITIES, INC.
February 27, 1998 - January 25, 1999
BROOKSTREET SECURITIES CORPORATION
January 9, 1998 - March 9, 1998
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
June 19, 1997 - January 8, 1998
CRISPIN KOEHLER SECURITIES
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.
Company Information
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Financial AdvisorCRD#: 149018TRUST BUT VERIFY
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