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Vrinda Sinha

Some features on this profile are disabled
CRD#: 6943700
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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.

Vrinda Sinha was a registered financial professional .

Vrinda is a previously registered financial professional and started their career in finance in 2018. Vrinda had worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.

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

January 6, 2026 - April 8, 2026

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
Houston, TX
Past

January 6, 2026 - April 8, 2026

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
Houston, TX
Past

July 17, 2025 - September 11, 2025

LPL FINANCIAL LLC

RIA
CRD#: 6413
THE WOODLANDS, TX
Past

July 14, 2025 - September 11, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
THE WOODLANDS, TX
Past

March 21, 2023 - August 14, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SUGAR LAND, TX
Past

March 21, 2023 - August 14, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SUGAR LAND, TX
Past

September 7, 2018 - November 30, 2022

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
SUGAR LAND, TX
Past

July 3, 2018 - November 30, 2022

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
SUGAR LAND, TX

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".
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA
Registered Investment Advisory firm - (12/23/2008 Approved)

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
IAR
Series 65
Date: 9/7/2018
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/13/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/6/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/3/2018
Investment Company Products/Variable Contracts Representative Examination

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA
Registered Investment Advisory firm - (12/23/2008 Approved)
PREMIUM
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Contact information

Main Address
880 Carillon Parkway, Saint Petersburg, FL 33716
Mailing Address
Phone number
(727) 567-3020
Established
Firm type
Fiscal year end
# of Employees
9,675

SEC notice filing (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. WRAP BROCHURE (12/23/2025)
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. FIRM BROCHURE (12/23/2025)

Regulatory assets under management

Total Number of Accounts1,107,860
AUM (Assets Under Management)$ 390,042,864,529

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/12/2025
Cover Page
Report
08/21/2024
Cover Page
Report
09/27/2023
Cover Page
Report

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

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

CRD#: 149018

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