Vikki A. Ciotti
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.
Vikki Ann Ciotti, who also goes by VIkki A Biggs, Vikki A Ciotti, Vikki Evans, was a registered financial professional .
Vikki is a previously registered financial professional and started their career in finance in 1982. Vikki had worked at 8 firms and has passed the Series 63, Series 7TO, SIE, Series 3 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
February 26, 2021 - August 16, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 29, 2021 - August 16, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 1, 2008 - February 2, 2021
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - February 2, 2021
WELLS FARGO CLEARING SERVICES, LLC
October 16, 1996 - January 1, 2008
A. G. EDWARDS & SONS, INC.
October 16, 1996 - January 3, 2008
A. G. EDWARDS & SONS, INC.
September 19, 1994 - October 28, 1996
RAYMOND JAMES & ASSOCIATES, INC.
November 16, 1992 - September 26, 1994
STATEWIDE SECURITIES GROUP, INC.
March 15, 1983 - November 19, 1992
LEHMAN BROTHERS INC.
August 20, 1982 - March 8, 1983
THOMSON MCKINNON SECURITIES 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 7TO
Date: 1/2/2023
General Securities Representative 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.
