Stephanie R. Ames
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.
Stephanie Renee Ames, who also goes by Stephanie Renee Hooper, Stephanie Renee Wilmoth, was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 2001. Stephanie had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2020 - January 28, 2025
RAYMOND JAMES & ASSOCIATES, INC.
March 3, 2020 - January 28, 2025
RAYMOND JAMES & ASSOCIATES, INC.
July 28, 2016 - April 1, 2019
FIRST COMMAND ADVISORY SERVICES
May 27, 2016 - April 1, 2019
FIRST COMMAND BROKERAGE SERVICES, INC.
November 21, 2013 - March 1, 2016
BB&T INVESTMENT SERVICES, INC.
November 21, 2013 - March 1, 2016
BB&T INVESTMENT SERVICES, INC.
May 23, 2011 - November 25, 2013
FIRST COMMAND BROKERAGE SERVICES, INC.
May 14, 2011 - November 25, 2013
FIRST COMMAND BROKERAGE SERVICES, INC.
January 19, 2010 - April 13, 2011
INVEST FINANCIAL CORPORATION
December 18, 2009 - April 13, 2011
INVEST FINANCIAL CORPORATION
September 25, 2007 - January 8, 2008
SYNOVUS SECURITIES, INC.
September 6, 2005 - January 8, 2008
SYNOVUS SECURITIES, INC.
January 3, 2001 - September 2, 2005
FIRST COMMAND BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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 & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
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.
