Lana R. Washburn
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.
Lana R Washburn, who also goes by Lana Renee Simmons, Lana Simmons, Lana Renee Washburn, Lana Washburn, was a registered financial professional .
Lana is a previously registered financial professional and started their career in finance in 2005. Lana had worked at 7 firms and has passed the Series 66, Series 63, 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
October 12, 2023 - January 28, 2025
RAYMOND JAMES & ASSOCIATES, INC.
October 12, 2023 - January 28, 2025
RAYMOND JAMES & ASSOCIATES, INC.
March 18, 2020 - September 28, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 18, 2020 - September 28, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 22, 2019 - December 26, 2019
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
August 22, 2019 - December 26, 2019
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 11, 2016 - August 15, 2019
EDWARD JONES
March 11, 2016 - August 15, 2019
EDWARD JONES
June 1, 2009 - March 21, 2016
MORGAN STANLEY
June 1, 2009 - March 21, 2016
MORGAN STANLEY
June 3, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
December 6, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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 & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
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.
