Darci A. Cain
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.
Darci Arlene Cain, who also goes by Darci Arlene Rose, was a registered financial professional .
Darci is a previously registered financial professional and started their career in finance in 2001. Darci had worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2016 - January 14, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 6, 2016 - January 14, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 14, 2015 - June 6, 2016
VSR FINANCIAL SERVICES, INC.
May 14, 2015 - June 6, 2016
VSR FINANCIAL SERVICES, INC.
July 17, 2014 - April 24, 2015
FINTEGRA, LLC
March 14, 2014 - April 24, 2015
FINTEGRA, LLC
November 1, 2004 - June 20, 2006
COMMERCE BROKERAGE SERVICES, INC.
September 14, 2001 - September 30, 2004
RAYMOND JAMES FINANCIAL SERVICES, 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.
