Gisela V. Rojas
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.
Gisela Vanessa Rojas was a registered financial professional .
Gisela is a previously registered financial professional and started their career in finance in 2004. Gisela had worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2015 - September 24, 2015
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 1, 2015 - August 18, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 11, 2011 - July 2, 2013
FINESTONE PARTNERS
June 7, 2007 - July 3, 2013
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 25, 2006 - May 24, 2007
SANTA BARBARA ASSET MANAGEMENT, LLC
May 9, 2005 - November 21, 2005
PLANMEMBER SECURITIES CORPORATION
December 13, 2004 - November 21, 2005
PLANMEMBER SECURITIES CORPORATION
July 26, 2004 - December 3, 2004
PARTNERVEST SECURITIES, 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.
