Richard L. Mcdonald
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.
Richard Lee Mcdonald was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1979. Richard had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 5 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
July 15, 2015 - November 17, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 27, 2015 - November 17, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 16, 2013 - June 16, 2014
PNC WEALTH MANAGEMENT LLC
February 4, 2013 - June 16, 2014
PNC WEALTH MANAGEMENT LLC
January 24, 2011 - August 16, 2011
MCDONALD PARTNERS LLC
January 7, 2011 - August 16, 2011
MCDONALD PARTNERS LLC
July 17, 2009 - March 25, 2010
PRUCO SECURITIES, LLC.
June 22, 2009 - March 25, 2010
PRUCO SECURITIES, LLC.
December 18, 2006 - April 10, 2008
EQUITABLE ADVISORS, LLC
December 18, 2006 - April 10, 2008
EQUITABLE ADVISORS, LLC
January 5, 2005 - January 31, 2006
ASC ADVISORY GROUP INC
March 4, 2003 - January 10, 2005
OSAIC FA, INC.
January 9, 2003 - January 10, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 9, 2003 - January 10, 2005
OSAIC FA, INC.
April 3, 1988 - April 18, 1995
CIBC WORLD MARKETS CORP.
April 26, 1985 - December 20, 2002
CIBC WORLD MARKETS CORP.
January 18, 1984 - April 18, 1985
MORGAN KEEGAN & COMPANY, LLC
July 27, 1979 - January 30, 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 5
Date: 10/26/1981
Interest Rate Options 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.
