Raymond L. Schroeder
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.
Raymond Leon Schroeder, who also goes by Lee Schroeder, was a registered financial professional .
Raymond is a previously registered financial professional and started their career in finance in 1968. Raymond had worked at 5 firms and has passed the Series 63, Series 7, V06 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
January 2, 2009 - December 31, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 18, 1999 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 18, 1999 - March 1, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 5, 1986 - October 19, 1999
A. G. EDWARDS & SONS, INC.
May 1, 1979 - June 11, 1986
EDWARD JONES
December 8, 1968 - February 28, 1977
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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
V06
Date: 12/2/1968
Variable Annuities Module 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.
