Larry L. Galantis
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.
Larry Lambros Galantis, who also goes by Larry L Galantis, was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1979. Larry had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 3, Series 15, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2009 - November 1, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 14, 2000 - October 10, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 14, 2000 - November 1, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 25, 1989 - April 19, 2000
PRUDENTIAL EQUITY GROUP, LLC
October 8, 1986 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
July 26, 1984 - March 30, 1987
CERTIFIED CAPITAL CORPORATION
March 26, 1979 - September 5, 1984
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 15
Date: 2/28/1989
Foreign Currency Options ExaminationSeries 5
Date: 2/28/1989
Interest Rate Options ExaminationSeries 8
Date: 10/10/1988
General Securities Sales Supervisor Examination (Options Module & General Module)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.
