William B. Krutow

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CRD#: 2898343

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.

William Bruce Krutow, who also goes by Bruce Krutow, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1997. William had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 37 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bruce Krutow

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

RAYMOND JAMES LTD ("RJL"), A REGISTERED INVESTMENT DEALER WITH IIROC, IS THE CANADIAN AFFILIATE AND PARENT COMPANY OF RAYMOND JAMES (USA) LTD. THE BUSINESS IS INVESTMENT RELATED. BRUCE KRUTOW IS LOCATED AT SUITE 2100 - 925 WEST GEORGIA ST. VANCOUVER BC CANADA V6C 3L2 AND HAS BEEN EMPLOYED SINCE 01/13/2003. HE IS A FULL TIME EMPLOYEE AND HIS TITLE WITH RJL IS VICE PRESIDENT, Capital Markets Compliance Officer. HE DEVOTES 116 HOURS A MONTH TO THIS BUSINESS DURING BUSINESS AND TRADING HOURS. HIS JOB DUTIES ARE: VICE PRESIDENT, Corporate Compliance

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 2, 2014 - July 6, 2023

RAYMOND JAMES (USA) LTD.

RIA

CRD#: 25853

VANCOUVER, BC,

Past

December 21, 2011 - December 11, 2012

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

VANCOUVER,

Past

April 7, 2005 - December 11, 2012

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

VANCOUVER, BC,

Past

January 19, 2005 - July 6, 2023

RAYMOND JAMES (USA) LTD.

CRD#: 25853

VANCOUVER, BC,

Past

September 10, 1997 - July 18, 2002

MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.

CRD#: 38108

TORONTO, ONTARIO,

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RAYMOND JAMES (USA) LTD.

GOEPEL MCDERMID (USA) INC. | RAYMOND JAMES LTD (USA), INC. | RAYMOND JAMES (USA) LTD. | RAYMOND JAMES (USA) LTD | GOEPEL, SHIELDS & PARTNERS USA, INC.

CRD#: 25853 / SEC#: 801-72137, 8-42071

RIA

Registered Investment Advisory firm - SEC (2/10/2011 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/29/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/12/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 37

Date: 8/27/1997

Canada Module of the General Securities Registered Representative (With Options Questions)

Principal/Supervisory Exam

Series 24

Date: 1/31/2005

General Securities Principal Examination

Current Firm

RAYMOND JAMES (USA) LTD.

GOEPEL MCDERMID (USA) INC. | RAYMOND JAMES LTD (USA), INC. | RAYMOND JAMES (USA) LTD. | RAYMOND JAMES (USA) LTD | GOEPEL, SHIELDS & PARTNERS USA, INC.

CRD#: 25853 / SEC#: 801-72137, 8-42071

RIA

Registered Investment Advisory firm - SEC (2/10/2011 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

925 West Georgia Street - 2100, Vancouver, V6C3L2

Mailing Address

925 West Georgia Street - 2100, Vancouver, B.c., V6C 3L2

Phone number

(604) 659-8200

Established

Firm type

Corporation

Fiscal year end

September

Firm Size

Medium

# of Employees

165

SEC notice filing (31 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

RJLU WRAP FEE BROCHURE DECEMBER 2023 (12/5/2024)

Direct owners and executive officers

Name	Position	CRD#
RAYMOND JAMES LTD.	OWNER
AYYUB, HARRIS	SR. MANAGER & CHIEF COMPLIANCE OFFICER (ACTING)	7789868
BALEZENTIS, PATRICIA	DIRECTOR	2262711
BARKO, SHAWN JOSEPH	DIRECTOR	2690394
BOYLE, SEAN PATRICK	DIRECTOR	5517025
LIM, CHRISTOPHER JOHN	CHIEF FINANCIAL OFFICER	6090679
MARCUS, STEVEN ROBERT	DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER	2820004
SERBANOS, EFSTRATIOS MICHAEL	GENERAL COUNSEL	2267667

Regulatory assets under management

Total Number of Accounts	3,811
AUM (Assets Under Management)	$ 1,544,291,655

Disclosures

Regulatory Event

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.

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Firm Stability Insights

William B. Krutow

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES (USA) LTD.

MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.

Primary Firm SEC Registration

RAYMOND JAMES (USA) LTD.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/29/2011

Series 63

Date: 3/12/2008

SIE

Date: 10/1/2018

Series 37

Date: 8/27/1997

Series 24

Date: 1/31/2005

Current Firm

RAYMOND JAMES (USA) LTD.

Contact information

SEC notice filing (31 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

RAYMOND JAMES (USA) LTD.

TRUST BUT VERIFY

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