Richard W. Broomham
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 William Broomham was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1972. Richard had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1, Series 24, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2012 - April 2, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 23, 2012 - April 2, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 1, 2009 - February 7, 2012
MORGAN STANLEY
June 1, 2009 - February 7, 2012
MORGAN STANLEY
January 10, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 11, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 1, 1999 - November 30, 2005
ADVEST, INC.
February 26, 1980 - June 29, 1999
FIFTH THIRD SECURITIES, INC.
January 12, 1977 - March 15, 1980
E. F. HUTTON & COMPANY INC
June 4, 1974 - February 10, 1977
FIFTH THIRD SECURITIES, INC.
September 27, 1972 - July 17, 1974
CHARLES A PARCELLS & CO
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: 9/21/1972
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.
