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PH

Paula A. Hewitt

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CRD#: 6231911
PH

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.

Paula Amy Hewitt was a registered financial professional .

Paula is a previously registered financial professional and started their career in finance in 2017. Paula had worked at 2 firms and has passed the Series 63, SIE, Series 99, Series 38 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 20, 2018 - November 15, 2019

RAYMOND JAMES (USA) LTD.

BD
CRD#: 25853
VANCOUVER, B.C.,
Past

July 21, 2017 - August 17, 2018

MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.

BD
CRD#: 38108
TORONTO, ONTARIO,

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RJ
RAYMOND JAMES (USA) LTD.
GOEPEL MCDERMID (USA) INC. | RAYMOND JAMES LTD (USA), INC. | RAYMOND JAMES (USA) LTD. | RAYMOND JAMES (USA) LTD | GOEPEL, SHIELDS & PARTNERS USA, INC.

CRD#: 25853 / SEC#: 801-72137, 8-42071

RIA
Registered Investment Advisory firm - SEC (2/10/2011 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/8/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 12/21/2017
Operations Professional Examination
General Industry/Product Exam
RR
Series 38
Date: 7/21/2017
Canada Module of the General Securities Registered Representative (Without Options Questions)
Principal/Supervisory Exam
RR
Series 24
Date: 4/21/2017
General Securities Principal Examination

Current Firm

RJ
RAYMOND JAMES (USA) LTD.
GOEPEL MCDERMID (USA) INC. | RAYMOND JAMES LTD (USA), INC. | RAYMOND JAMES (USA) LTD. | RAYMOND JAMES (USA) LTD | GOEPEL, SHIELDS & PARTNERS USA, INC.

CRD#: 25853 / SEC#: 801-72137, 8-42071

RIA
Registered Investment Advisory firm - SEC (2/10/2011 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
925 West Georgia Street - 2100, Vancouver, V6C3L2
Mailing Address
925 West Georgia Street - 2100, Vancouver, B.c., V6C 3L2
Phone number
(604) 659-8200
Established
Firm type
Corporation
Fiscal year end
September
Firm Size
Medium
# of Employees
175

SEC notice filing (31 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

RJLU WRAP ADV PART2A 2026 (12/8/2025)

Direct owners and executive officers

NamePositionCRD#
RAYMOND JAMES LTD.OWNER
AYYUB, HARRISSR. MANAGER & CHIEF COMPLIANCE OFFICER (ACTING)7789868
BALEZENTIS, PATRICIADIRECTOR2262711
BARKO, SHAWN JOSEPHDIRECTOR2690394
BOYLE, SEAN PATRICKDIRECTOR5517025
LIM, CHRISTOPHER JOHNCHIEF FINANCIAL OFFICER6090679
MARCUS, STEVEN ROBERTDIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER2820004
SERBANOS, EFSTRATIOS MICHAELGENERAL COUNSEL2267667

Regulatory assets under management

Total Number of Accounts4,869
AUM (Assets Under Management)$ 1,991,381,912

Disclosures

Regulatory Event1

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 (USA) LTD.

CRD#: 25853

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