Willard E. Carmel
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.
Willard Eugene Carmel was a registered financial professional .
Willard is a previously registered financial professional and started their career in finance in 1964. Willard had worked at 5 firms and has passed the Series 63 and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2012 - April 12, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 15, 2012 - April 12, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 1, 2009 - July 13, 2012
MORGAN STANLEY
June 1, 2009 - July 13, 2012
MORGAN STANLEY
February 28, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 18, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
October 18, 1999 - March 1, 2005
KEYBANC CAPITAL MARKETS INC.
June 18, 1964 - March 1, 2005
KEYBANC CAPITAL MARKETS 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
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.
