Duzhi Wang
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.
Duzhi Wang, who also goes by Duzhi Nmn Wang, Stuart Duzhi Wang Mr., Stuart Wang, was a registered financial professional .
Duzhi is a previously registered financial professional and started their career in finance in 2004. Duzhi had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2017 - October 26, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
May 3, 2017 - October 26, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 24, 2012 - May 2, 2017
BANCWEST INVESTMENT SERVICES, INC.
July 24, 2012 - May 2, 2017
BANCWEST INVESTMENT SERVICES, INC.
November 12, 2010 - July 21, 2011
SCOTTRADE, INC.
July 31, 2009 - October 22, 2010
CETERA WEALTH SERVICES, LLC
July 13, 2009 - October 22, 2010
CETERA WEALTH SERVICES, LLC
January 7, 2005 - July 8, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
December 16, 2004 - July 3, 2006
IDS LIFE INSURANCE COMPANY
December 16, 2004 - July 8, 2009
AMERIPRISE FINANCIAL 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.
