Robert S. Shassol
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.
Robert Saul Shassol was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2001. Robert had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2015 - April 3, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 2, 2015 - April 3, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 28, 2013 - January 8, 2015
CITIGROUP GLOBAL MARKETS INC.
January 28, 2013 - January 8, 2015
CITIGROUP GLOBAL MARKETS INC.
October 23, 2009 - January 22, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - January 22, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 5, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 5, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 6, 2006 - September 9, 2008
WELLS FARGO CLEARING SERVICES, LLC
February 6, 2006 - September 9, 2008
WELLS FARGO CLEARING SERVICES, LLC
April 19, 2004 - January 24, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 19, 2004 - January 24, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 6, 2002 - April 19, 2004
MORGAN STANLEY DW INC.
October 26, 2001 - April 19, 2004
MORGAN STANLEY DW INC.
February 16, 2001 - August 13, 2001
DAVID LERNER ASSOCIATES, 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.
