Elizabeth K. Gugel
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.
Elizabeth Kay Gugel, who also goes by Beth Gugel, Elizabeth Kay Gugel Mrs, Elizabeth Kay Stanley, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 2006. Elizabeth had worked at 9 firms and has passed the Series 65, 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
December 7, 2018 - September 25, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
November 28, 2018 - September 25, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 4, 2018 - September 14, 2018
OSAIC SERVICES, INC.
June 4, 2018 - September 14, 2018
OSAIC SERVICES, INC.
April 10, 2018 - June 7, 2018
WEALTH WATCH ADVISORS, INC
October 27, 2014 - June 28, 2017
RBC CAPITAL MARKETS, LLC
October 27, 2014 - June 28, 2017
RBC CAPITAL MARKETS, LLC
October 14, 2014 - November 7, 2014
FIRST ALLIED ADVISORY SERVICES, INC.
September 9, 2014 - October 23, 2014
FIRST ALLIED SECURITIES, INC.
July 22, 2011 - May 30, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - May 30, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
December 19, 2006 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, 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.
