Carolyn S. Meakem
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.
Carolyn Soliday Meakem, who also goes by Carolyn S Meakem, Mary Carolyn Meakem, Mary Carolyn Soliday Meakem, Sarolyn S Meakem, Mary Carolyn Soliday, was a registered financial professional .
Carolyn is a previously registered financial professional and started their career in finance in 1978. Carolyn had worked at 6 firms and has passed the Series 65, Series 63, SIE 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
September 25, 2012 - December 31, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
September 24, 2012 - December 31, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 10, 2006 - September 26, 2012
WELLS FARGO CLEARING SERVICES, LLC
March 10, 2006 - September 26, 2012
WELLS FARGO CLEARING SERVICES, LLC
February 21, 2006 - March 23, 2006
CITIGROUP GLOBAL MARKETS INC.
February 21, 2006 - March 23, 2006
CITIGROUP GLOBAL MARKETS INC.
October 15, 1990 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
July 25, 1988 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
September 25, 1978 - July 27, 1988
FERRIS, BAKER WATTS, 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.
