Beth A. Lienau
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.
Beth Ann Lienau, who also goes by Beth Ann Schaffner, was a registered financial professional .
Beth is a previously registered financial professional and started their career in finance in 2001. Beth had worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 53 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 - April 16, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 19, 2008 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 14, 2008 - April 16, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 7, 2007 - August 11, 2008
THE HUNTINGTON INVESTMENT COMPANY
August 1, 2007 - August 11, 2008
THE HUNTINGTON INVESTMENT COMPANY
May 7, 2003 - August 1, 2007
NATIONAL PLANNING CORPORATION
May 7, 2002 - August 1, 2007
NATIONAL PLANNING CORPORATION
February 23, 2001 - December 20, 2001
LUTHERAN BROTHERHOOD SECURITIES CORP.
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.
