Gregory R. Schasiepen
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.
Gregory Richard Schasiepen was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1980. Gregory had worked at 10 firms and has passed the Series 65, Series 63 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
January 2, 2009 - August 24, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
December 15, 2008 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
December 12, 2008 - August 24, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 21, 2006 - December 26, 2008
UBS FINANCIAL SERVICES INC.
July 21, 2006 - December 26, 2008
UBS FINANCIAL SERVICES INC.
July 8, 1997 - July 26, 2006
OSAIC WEALTH, INC.
November 19, 1989 - July 26, 2006
OSAIC WEALTH, INC.
November 3, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
July 25, 1988 - November 3, 1988
CHRISTOPHER WEIL & COMPANY, INC
September 17, 1986 - April 26, 1988
LONDON ZURICH SECURITIES, INC.
January 24, 1983 - September 15, 1986
FSC SECURITIES CORPORATION
March 25, 1981 - January 25, 1983
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
February 22, 1980 - March 6, 1981
MORGAN STANLEY DW 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.
