Richard Len
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 Len was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1968. Richard had worked at 8 firms and has passed the Series 65, Series 63, 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
January 2, 2009 - July 26, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 21, 2003 - January 12, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - July 26, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 14, 1990 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
April 25, 1983 - March 17, 1990
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
January 25, 1971 - March 17, 1978
PAUL REVERE EQUITY SALES COMPANY (THE)
January 25, 1971 - April 12, 1983
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
May 20, 1968 - May 5, 1971
TOWER SQUARE SECURITIES, INC.
March 26, 1968 - November 30, 1978
MAYFLOWER SECURITIES CO., 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
Series 1
Date: 3/22/1968
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.
