Carole T. Phaneuf
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.
Carole Therese Phaneuf, who also goes by Carole Marie Therese Nadeau, Carole T. Phaneuf Mrs., Carole T. Phaneuf, Carole Therese Phaneuf Mrs., was a registered financial professional .
Carole is a previously registered financial professional and started their career in finance in 2004. Carole had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, 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
November 27, 2017 - July 17, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 27, 2017 - July 17, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 4, 2016 - December 8, 2017
CANTELLA & CO., INC.
April 1, 2016 - December 8, 2017
CANTELLA & CO., INC.
March 9, 2012 - October 6, 2014
STRATEGIC ADVISERS LLC
August 24, 2011 - October 6, 2014
FIDELITY BROKERAGE SERVICES LLC
November 19, 2008 - January 28, 2011
PRUCO SECURITIES, LLC.
June 21, 2004 - July 11, 2007
FIDELITY BROKERAGE SERVICES LLC
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.
