Kerwin R. Price
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.
Kerwin Randolph Price, who also goes by Randy Price, was a registered financial professional .
Kerwin is a previously registered financial professional and started their career in finance in 1968. Kerwin had worked at 8 firms and has passed the Series 63, PC, Series 000, 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 - July 6, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 4, 1999 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - July 6, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 11, 1997 - December 31, 1998
RAYMOND JAMES & ASSOCIATES, INC.
April 25, 1986 - December 31, 1987
MOMENTUM INDEPENDENT NETWORK INC.
June 22, 1983 - October 31, 1983
MACKEN SECURITIES, INC.
July 8, 1974 - April 11, 1997
HILLTOP SECURITIES INC.
July 20, 1971 - August 17, 1972
PINE SECURITIES, INC.
July 2, 1968 - May 13, 1972
EDWARD JONES
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
PC
Date: 8/15/1977
AMEX Put and Call ExamSeries 000
Date: 6/27/1968
General Securities Principal ExaminationSeries 1
Date: 6/27/1968
Registered Representative ExaminationSeries 00
Date: 6/25/1971
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.
