Lionne K. Mays
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.
Lionne Kim Mays, who also goes by Kim Brown, Lionne Geralds Brown, Lionne Kim Brown, Tipton Brown, Kim Brown Findling, Kim Findling, Lionne Kim Findling, Lionne Kim Geralds, Lionne K Mays, Lionne Kim Kim Mays, Lionne Kim Tipton, Lionne Kim Brown Tipton, was a registered financial professional .
Lionne is a previously registered financial professional and started their career in finance in 1976. Lionne had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 8 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2017 - May 5, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 11, 2017 - May 5, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 4, 2013 - September 5, 2013
CHARLES SCHWAB & CO., INC.
January 3, 2012 - May 21, 2015
SCHWAB WEALTH ADVISORY, INC.
February 22, 2005 - December 31, 2011
CHARLES SCHWAB & CO., INC.
June 18, 2003 - May 21, 2015
CHARLES SCHWAB & CO., INC.
February 1, 1993 - December 31, 2002
CHARLES SCHWAB & CO., INC.
February 4, 1991 - January 19, 1993
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 7, 1989 - December 14, 1990
RAFFENSPERGER, HUGHES & CO., INC.
March 14, 1989 - April 25, 1989
MANULIFE WOOD LOGAN, INC.
January 5, 1976 - January 3, 1989
K. J. BROWN & CO., 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
Series 8
Date: 7/29/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Series 00
Date: 12/19/1975
General Securities Principal 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.
