Richard E. Mansfield
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.
Richard Edmund Mansfield JR., who also goes by Richard Edmund Mansfield, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2000. Richard had worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2013 - April 2, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 24, 2013 - April 2, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 20, 2010 - November 12, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
May 14, 2010 - November 12, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
November 17, 2009 - March 22, 2010
TD WEALTH MANAGEMENT SERVICES INC.
November 17, 2009 - March 22, 2010
TD WEALTH MANAGEMENT SERVICES INC.
December 4, 2006 - November 17, 2009
BANCNORTH INVESTMENT GROUP, INC.
November 27, 2006 - November 17, 2009
CETERA INVESTMENT SERVICES LLC
March 17, 2005 - May 25, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - May 25, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 25, 2001 - October 20, 2004
QUICK & REILLY, INC.
May 24, 2000 - April 25, 2001
SUMMIT FINANCIAL SERVICES GROUP, 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.
