Michael C. Spurlin
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.
Michael Charles Spurlin was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1999. Michael had worked at 6 firms and has passed the Series 65, 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
January 6, 2011 - May 17, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 3, 2009 - May 17, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 10, 2003 - August 3, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
May 28, 2002 - July 22, 2003
BNY MELLON SECURITIES LLC
July 30, 2001 - April 12, 2002
GUARANTY BROKERAGE SERVICES, INC.
November 3, 1999 - July 30, 2001
CAPITAL BROKERAGE CORPORATION
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.
