Shaun K. Kido
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.
Shaun Kazuyuki Kido was a registered financial professional .
Shaun is a previously registered financial professional and started their career in finance in 2002. Shaun had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2017 - October 2, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
September 25, 2017 - October 2, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 18, 2017 - September 28, 2017
CETERA INVESTMENT ADVISERS LLC
April 18, 2017 - September 28, 2017
CETERA INVESTMENT SERVICES LLC
July 5, 2011 - April 27, 2017
LPL FINANCIAL LLC
July 5, 2011 - April 27, 2017
LPL FINANCIAL LLC
January 14, 2010 - July 5, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
January 14, 2010 - July 5, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
July 10, 2007 - December 11, 2009
BANCWEST INVESTMENT SERVICES, INC.
May 25, 2004 - December 11, 2009
BANCWEST INVESTMENT SERVICES, INC.
September 12, 2002 - April 22, 2004
DFC INVESTOR SERVICES
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.
