Carol A. Jones
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.
Carol Ann Jones, who also goes by Carol Gratch, Carol Ann Haack, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1976. Carol had worked at 6 firms and has passed the Series 65, Series 63, Series 5, Series 15, Series 7, Series 24, Series 53, Series 4 and Series 12 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 - November 9, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 11, 2004 - October 17, 2012
NEW MEXICO INVESTMENT ADVISORS
June 17, 1997 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 8, 1997 - November 9, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 3, 1991 - May 16, 1997
PRINCIPAL FINANCIAL SECURITIES,INC.
November 15, 1982 - April 24, 1991
PRUDENTIAL EQUITY GROUP, LLC
September 1, 1976 - December 6, 1982
E. F. HUTTON & COMPANY 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 5
Date: 3/27/1985
Interest Rate Options ExaminationSeries 15
Date: 3/24/1983
Foreign Currency Options ExaminationSeries 12
Date: 1/3/1983
NYSE Branch Manager 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.
