Carl V. Cline
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.
Carl Vernon Cline III was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1973. Carl had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC, Series 000, Series 1, Series 9, Series 10, Series 53, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2019 - December 31, 2023
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 27, 2006 - December 31, 2018
RESOURCE PARTNERS LLC
April 6, 2006 - April 26, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 10, 2006 - December 31, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 31, 2001 - March 29, 2006
UBS FINANCIAL SERVICES INC.
August 14, 2000 - March 29, 2006
UBS FINANCIAL SERVICES INC.
August 17, 1973 - September 7, 1979
FIRST UNION CAPITAL MARKETS CORP.
August 13, 1973 - August 14, 2000
J.C. BRADFORD & CO.
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 6/20/1980
AMEX Put and Call ExamSeries 000
Date: 8/13/1973
General Securities Principal ExaminationSeries 1
Date: 8/13/1973
Registered Representative ExaminationSeries 12
Date: 9/13/1979
NYSE Branch Manager ExaminationCurrent 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.
Company Information
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Branch ManagerCRD#: 149018TRUST BUT VERIFY
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