Frank S. Samuelsohn
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.
Frank Stuart Samuelsohn was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1972. Frank had worked at 7 firms and has passed the Series 66, Series 63, Series 15, Series 5, PC, Series 1, Series 4, Series 24 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
January 2, 2009 - December 31, 2013
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 11, 2007 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - July 2, 2014
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 18, 1994 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
September 10, 1990 - February 23, 1994
EDWARD JONES
October 4, 1989 - October 2, 1990
LEHMAN BROTHERS INC.
July 8, 1974 - October 12, 1989
THOMSON MCKINNON SECURITIES INC.
December 1, 1972 - August 19, 1975
W. E. HUTTON & 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 15
Date: 11/22/1982
Foreign Currency Options ExaminationSeries 5
Date: 11/11/1981
Interest Rate Options ExaminationPC
Date: 10/6/1978
AMEX Put and Call ExamSeries 1
Date: 11/18/1972
Registered Representative ExaminationSeries 12
Date: 3/21/1978
NYSE Branch Manager 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.
