William L. Lavin
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.
William Lewis Lavin II, who also goes by William L Lavin, William Lewis Lavin, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1979. William had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 7, Series 9, Series 10 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
February 24, 2015 - June 22, 2022
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 23, 2015 - June 22, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 17, 2008 - March 4, 2015
RAYMOND JAMES & ASSOCIATES, INC.
March 14, 2008 - March 4, 2015
RAYMOND JAMES & ASSOCIATES, INC.
July 8, 1997 - March 27, 2008
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - March 27, 2008
CITIGROUP GLOBAL MARKETS INC.
June 10, 1986 - July 31, 1993
LEHMAN BROTHERS INC.
May 1, 1979 - June 3, 1986
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: 11/12/1987
Foreign Currency Options ExaminationSeries 5
Date: 10/12/1981
Interest Rate Options ExaminationSeries 8
Date: 9/4/1986
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.
