Frederick M. Stow
Professional summary
Frederick Markley Stow was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Frederick is a previously registered financial professional and started their career in finance in 1979. Prior to being barred, Frederick had worked at 7 firms, which includes RAYMOND JAMES & ASSOCIATES INC., WELLS FARGO CLEARING SERVICES LLC, TRUIST INVESTMENT SERVICES INC., TRUIST SECURITIES INC., ROBERT W. BAIRD & CO. INCORPORATED, NORTHWESTERN MUTUAL INVESTMENT SERVICES LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2013 - May 30, 2019
RAYMOND JAMES & ASSOCIATES, INC.
September 6, 2013 - June 10, 2019
RAYMOND JAMES & ASSOCIATES, INC.
September 27, 2010 - September 12, 2013
WELLS FARGO CLEARING SERVICES, LLC
September 24, 2010 - September 12, 2013
WELLS FARGO CLEARING SERVICES, LLC
June 30, 2005 - September 28, 2010
TRUIST INVESTMENT SERVICES, INC.
June 27, 2005 - September 28, 2010
TRUIST INVESTMENT SERVICES, INC.
January 21, 2005 - June 30, 2005
TRUIST SECURITIES, INC.
January 21, 2005 - June 30, 2005
TRUIST SECURITIES, INC.
March 23, 2004 - February 8, 2005
ROBERT W. BAIRD & CO. INCORPORATED
January 2, 2002 - September 13, 2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 27, 2000 - February 8, 2005
ROBERT W. BAIRD & CO. INCORPORATED
May 9, 1989 - July 3, 2000
TRUIST SECURITIES, INC.
April 2, 1979 - May 15, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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 & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
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.
