Mary K. Duckworth
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.
Mary Kathryn Duckworth, who also goes by Kathy Duckworth, was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1998. Mary had worked at 6 firms and has passed the Series 66, 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
June 1, 2011 - December 31, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 27, 2011 - October 5, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 2, 2008 - May 31, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - May 31, 2011
WELLS FARGO CLEARING SERVICES, LLC
May 24, 2005 - January 3, 2008
A. G. EDWARDS & SONS, INC.
June 10, 2003 - June 19, 2003
A. G. EDWARDS & SONS, INC.
January 12, 2001 - June 5, 2003
FIRST CITIZENS INVESTOR SERVICES, INC.
October 27, 1998 - January 1, 2001
UVEST FINANCIAL SERVICES GROUP, 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.
