Paul A. Marrella
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.
Paul Albert Marrella was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1969. Paul had worked at 7 firms and has passed the Series 63, SIE, Series 1 and Series 00 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 - September 27, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 12, 2001 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 12, 2001 - September 27, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 26, 2000 - January 17, 2001
MORGAN STANLEY DW INC.
January 31, 1997 - October 25, 2000
OSAIC WEALTH, INC.
March 15, 1989 - January 31, 1997
KEOGLER, MORGAN & COMPANY, INC.
June 24, 1971 - March 30, 1989
THE FIRST BUFFALO CORPORATION
April 23, 1969 - August 15, 1971
UVEST 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: 4/8/1968
Registered Representative ExaminationSeries 00
Date: 4/7/1969
General Securities Principal 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.
