Clinton G. Tighe
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.
Clinton George Tighe was a registered financial professional .
Clinton is a previously registered financial professional and started their career in finance in 1980. Clinton had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5 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
February 26, 2021 - February 10, 2022
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 19, 2021 - February 10, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 11, 2009 - February 24, 2021
WELLS FARGO CLEARING SERVICES, LLC
February 19, 2009 - February 24, 2021
WELLS FARGO CLEARING SERVICES, LLC
September 19, 1994 - September 21, 1994
UBS FINANCIAL SERVICES INC.
July 31, 1993 - March 13, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - March 13, 2009
CITIGROUP GLOBAL MARKETS INC.
May 8, 1989 - July 31, 1993
LEHMAN BROTHERS INC.
October 29, 1985 - May 26, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
September 8, 1983 - November 1, 1985
CITIGROUP GLOBAL MARKETS INC.
September 23, 1980 - September 7, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 15
Date: 1/14/1987
Foreign Currency Options ExaminationSeries 5
Date: 12/12/1981
Interest Rate Options ExaminationCurrent 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.
