Angela M. Henning
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.
Angela Marie Henning, who also goes by Angie M Henning, Angie Marie Henning, Angela M Neugebauer, Angela Marie Neugebauer, Angie Marie Neugebauer, was a registered financial professional .
Angela is a previously registered financial professional and started their career in finance in 2004. Angela had worked at 7 firms and has passed the Series 66, 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
October 5, 2017 - February 14, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 4, 2017 - February 14, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 23, 2017 - July 10, 2017
MORGAN STANLEY
March 22, 2017 - July 10, 2017
MORGAN STANLEY
January 3, 2011 - March 3, 2017
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - March 3, 2017
WELLS FARGO CLEARING SERVICES, LLC
August 25, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
June 3, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
January 17, 2007 - March 24, 2008
CHARLES SCHWAB & CO., INC.
June 2, 2004 - June 16, 2006
NORTHWESTERN MUTUAL INVESTMENT 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.
