John R. Birtwistle
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.
John Robert Birtwistle, who also goes by John R Birtwhistle, John R Birtwistle, was a registered financial advisor .
John is a previously registered financial advisor and started their career in finance in 1981. John had worked at 4 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 12, 2009 - August 27, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 5, 2009 - January 12, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 14, 2008 - August 27, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 23, 2004 - October 24, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 13, 2003 - October 24, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 12, 2002 - October 30, 2003
UBS FINANCIAL SERVICES INC.
June 30, 1999 - October 30, 2003
UBS FINANCIAL SERVICES INC.
January 19, 1981 - June 28, 1999
PRUDENTIAL EQUITY GROUP, LLC
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.
