Lawrence J. Stelzer
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.
Lawrence Joseph Stelzer, who also goes by Larry Stelzer, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1970. Lawrence had worked at 10 firms and has passed the Series 63, SIE, PC, Series 000, Series 1, 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
October 22, 2015 - May 3, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 20, 2015 - May 3, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 1, 2008 - February 4, 2014
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - February 4, 2014
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2000 - January 1, 2008
A. G. EDWARDS & SONS, INC.
October 26, 1987 - January 3, 2008
A. G. EDWARDS & SONS, INC.
August 11, 1987 - October 29, 1987
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 11, 1981 - April 20, 1983
RAYMOND JAMES & ASSOCIATES, INC.
March 7, 1980 - March 13, 1981
COLUMBUS EQUITIES INTERNATIONAL, INC.
January 14, 1977 - November 20, 1978
PROVIDENT MARKETING CORPORATION
April 5, 1973 - January 14, 1977
PROVIDENT NATIONAL EQUITIES, INC.
January 26, 1973 - January 14, 1977
PLA SECURITIES CORPORATION
June 16, 1970 - March 15, 1973
BACHE & CO INCORPORATED
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
PC
Date: 11/27/1987
AMEX Put and Call ExamSeries 000
Date: 12/2/1968
General Securities Principal ExaminationSeries 1
Date: 12/2/1968
Registered Representative 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.
