Dustin L. Baucom
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.
Dustin Lee Baucom, CFP®, who also goes by Dustin L Baucom, was a registered financial professional .
Dustin is a previously registered financial professional and started their career in finance in 2008. Dustin had worked at 6 firms and has passed the Series 65, 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
March 8, 2019 - March 9, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 7, 2019 - March 9, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 11, 2012 - December 31, 2018
LPL FINANCIAL LLC
September 11, 2012 - December 31, 2018
LPL FINANCIAL LLC
September 14, 2011 - August 29, 2012
MML INVESTORS SERVICES, LLC
September 14, 2011 - August 29, 2012
MML INVESTORS SERVICES, LLC
July 1, 2009 - August 30, 2011
WADDELL & REED
June 10, 2009 - August 30, 2011
WADDELL & REED
June 16, 2008 - July 8, 2009
CHASE INVESTMENT SERVICES CORP.
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.
