Robert Parlanti
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.
Robert Parlanti was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1970. Robert had worked at 11 firms and has passed the Series 63, SIE, PC, Series 1 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2006 - January 24, 2020
RAYMOND JAMES & ASSOCIATES, INC.
September 15, 2006 - January 24, 2020
RAYMOND JAMES & ASSOCIATES, INC.
August 9, 2005 - September 19, 2006
A. G. EDWARDS & SONS, INC.
February 12, 1999 - September 19, 2006
A. G. EDWARDS & SONS, INC.
January 18, 1978 - July 22, 1980
LOEB PARTNERS
December 27, 1977 - February 26, 1999
SCHRODER & CO. INC.
September 16, 1977 - December 23, 1983
PRUDENTIAL EQUITY GROUP, LLC
July 19, 1977 - January 18, 1978
HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED
September 20, 1974 - September 16, 1977
SHIELDS MODEL ROLAND INCORPORATED
July 11, 1973 - September 20, 1974
SHIELDS & COMPANY INCORPORATED
July 6, 1971 - August 11, 1973
W. E. HUTTON & CO.
March 8, 1971 - July 28, 1971
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
December 23, 1970 - May 8, 1971
GOODBODY & CO. INCORPORATED
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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
PC
Date: 3/1/1978
AMEX Put and Call ExamSeries 1
Date: 11/16/1960
Registered Representative ExaminationSeries 12
Date: 5/21/1983
NYSE Branch Manager ExaminationCurrent Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
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.
