Richard R. Raby

SYNOVUS SECURITIES

Atlanta, GA 30339

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CRD#: 4180915

Professional summary

Richard Reid Raby is a registered financial advisor currently at SYNOVUS SECURITIES, INC. located in Atlanta, Georgia.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Richard has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Reid Raby's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Richard Reid Raby's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 1, 2010 - Present

SYNOVUS SECURITIES, INC.

Office #1: 3400 Overton Park Drive, Atlanta, GA 30339

RIA

CRD#: 14023

Atlanta, GA

Current

August 1, 2001 - Present

SYNOVUS SECURITIES, INC.

Office #1: 3400 Overton Park Drive, Atlanta, GA 30339

RIA

CRD#: 14023

Atlanta, GA

Past

May 2, 2003 - May 25, 2007

SYNOVUS SECURITIES, INC.

RIA

CRD#: 14023

ATLANTA, GA

Past

May 2, 2003 - December 31, 2010

CREATIVE FINANCIAL GROUP LTD

RIA

CRD#: 105617

ATLANTA, GA

Past

July 26, 2000 - August 1, 2001

ROBERT ANDREW SECURITIES, INC.

CRD#: 44566

ATLANTA, GA

Past

July 10, 2000 - July 26, 2000

E*TRADE SECURITIES LLC

CRD#: 29106

JERSEY CITY, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SYNOVUS SECURITIES, INC.

CALUMET FINANCIAL ASSOCIATES INC. | SYNOVUS SECURITIES, INC. | SYNOVUS FINANCIAL PLANNING SERVICES | CREATIVE FINANCIAL GROUP, A DIVISION OF SYNOVUS SECURITIES, INC. | CALUMET FINANCIAL ASSOCIATES, INC.

CRD#: 14023 / SEC#: 801-19690, 8-34709

RIA

Registered Investment Advisory firm - SEC (9/1/1983 Approved)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(5/23/2023)

IAR

Alabama
(5/23/2023)

Alaska
(9/2/2025)

IAR

Alaska
(9/8/2025)

Arizona
(9/2/2025)

IAR

Arizona
(9/8/2025)

Arkansas
(9/2/2025)

IAR

Arkansas
(9/26/2025)

California
(11/17/2011)

IAR

California
(5/23/2023)

Colorado
(9/2/2025)

IAR

Colorado
(9/2/2025)

Connecticut
(9/2/2025)

IAR

Connecticut
(9/2/2025)

Delaware
(9/2/2025)

IAR

Delaware
(9/2/2025)

District of Columbia
(9/2/2025)

IAR

District of Columbia
(9/29/2025)

Florida
(5/23/2023)

IAR

Florida
(7/24/2023)

Georgia
(8/1/2001)

IAR

Georgia
(12/1/2010)

Illinois
(9/2/2025)

IAR

Illinois
(9/3/2025)

Indiana
(9/2/2025)

IAR

Indiana
(9/2/2025)

Kansas
(9/2/2025)

IAR

Kansas
(9/2/2025)

Kentucky
(9/2/2025)

IAR

Kentucky
(9/11/2025)

Louisiana
(9/2/2025)

IAR

Louisiana
(9/2/2025)

Maryland
(9/2/2025)

IAR

Maryland
(9/2/2025)

Massachusetts
(9/2/2025)

IAR

Massachusetts
(9/17/2025)

Minnesota
(9/2/2025)

IAR

Minnesota
(9/2/2025)

Mississippi
(9/2/2025)

IAR

Mississippi
(9/3/2025)

Missouri
(9/2/2025)

IAR

Missouri
(9/2/2025)

Nevada
(9/2/2025)

IAR

Nevada
(9/3/2025)

New Jersey
(9/2/2025)

IAR

New Jersey
(9/2/2025)

New Mexico
(9/2/2025)

IAR

New Mexico
(9/3/2025)

New York
(9/2/2025)

IAR

New York
(9/2/2025)

North Carolina
(9/2/2025)

IAR

North Carolina
(9/8/2025)

Ohio
(9/2/2025)

IAR

Ohio
(9/3/2025)

Oklahoma
(9/2/2025)

IAR

Oklahoma
(9/2/2025)

Oregon
(11/4/2013)

IAR

Oregon
(9/3/2025)

Pennsylvania
(9/2/2025)

IAR

Pennsylvania
(9/3/2025)

Rhode Island
(9/2/2025)

IAR

Rhode Island
(9/3/2025)

South Carolina
(5/23/2023)

IAR

South Carolina
(5/23/2023)

South Dakota
(9/2/2025)

IAR

South Dakota
(9/2/2025)

Tennessee
(9/2/2025)

Texas
(9/3/2025)

IAR

Texas
(9/4/2025)

Utah
(9/2/2025)

IAR

Utah
(9/3/2025)

Vermont
(9/2/2025)

IAR

Vermont
(9/2/2025)

Virginia
(9/2/2025)

IAR

Virginia
(9/4/2025)

Washington
(9/2/2025)

IAR

Washington
(9/2/2025)

Wisconsin
(9/2/2025)

IAR

Wisconsin
(9/3/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/19/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/27/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/7/2000

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SYNOVUS SECURITIES, INC.

CRD#: 14023 / SEC#: 801-19690, 8-34709

RIA

Registered Investment Advisory firm - SEC (9/1/1983 Approved)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

33 W 14th Street 3rd Floor, Columbus, GA 31901

Mailing Address

P.o. Box 2628, Columbus, GA 31902-2628

Phone number

(706) 649-2327

Established

Georgia since 06/27/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

287

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CREATIVE FINANCIAL GROUP ADV PART 2A (11/3/2025)

SYNOVUS SECURITIES, INC. ADV PART 2A (11/3/2025)

SYNOVUS SECURITIES, INC. APPENDIX 1 WRAP BROCHURES (11/3/2025)

Direct owners and executive officers

Name	Position	CRD#
SYNOVUS FINANCIAL CORP.	SYNOVUS SECURITIES, INC PARENT
BROOKS, WILLIAM THOMAS	CHIEF COMPLIANCE OFFICER	5028846
ELEAM, JENNA KELLEY	CHIEF FINANCIAL OFFICER / FINOP	7801582
GUNDERSON, GENE FREDERICK	DIRECTOR OF COMPLIANCE, TRUST & BROKERAGE	2914172
HILL, JAYNE BARRY	DIRECTOR/PRESIDENT OF WEALTH SERVICES	7660902
KIRK, LEAH JEANETTE	CHIEF OPERATIONS OFFICER	2217286
LAW, ROBERT WARD	PRESIDENT - CFG DIVISION	1399885
MCKENZIE, MICHELLE JESSUP	ROP	2475731
SEXTON, GUY LEONARD	EVP/DIRECTOR	1204541
VARNER, ROBERT PARKER	PRESIDENT	2192715

Regulatory assets under management

Total Number of Accounts	11,990
AUM (Assets Under Management)	$ 7,086,116,735

Disclosures

Regulatory Event	10
Arbitration	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/22/2024	Cover Page	Report
10/27/2023	Cover Page	Report

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.

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Richard R. Raby

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Reid Raby's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Richard Reid Raby's CRS (Customer Relationship Summary).

Certified licenses

Experience

SYNOVUS SECURITIES, INC.

SYNOVUS SECURITIES, INC.

CREATIVE FINANCIAL GROUP LTD

ROBERT ANDREW SECURITIES, INC.

E*TRADE SECURITIES LLC

Primary Firm SEC Registration

SYNOVUS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/19/2023

Series 63

Date: 7/27/2000

SIE

Date: 10/1/2018

Series 7

Date: 7/7/2000

FINRA

Current Firm

SYNOVUS SECURITIES, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

SYNOVUS SECURITIES, INC.

TRUST BUT VERIFY

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