Caroline C. Boggs

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CRD#: 871218

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.

Caroline Cobb Boggs, CFP®, who also goes by Mary Caroline Cobb, was a registered financial professional .

Caroline is a previously registered financial professional and started their career in finance in 1979. Caroline had worked at 7 firms and has passed the Series 63, SIE, Series 5, Series 7, Series 51 and Series 24 exams.

Question & Answer

What are your service offerings?

Investment Planning

Retirement Planning

Comprehensive Financial Planni...

Are you a "fiduciary"?

Aliases

Mary Caroline Cobb

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(1)Name of Business: Boggs Financial Company, LLC Address: 1711 Royal Ave, Monroe, LA, 71201-5613, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 07/16/2008 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Owner/Member (2)Name of Business: Caroline Cobb Boggs Address: 25 Clear Lake Road, Rayville, LA, 71269, United States Activity Type: Rental Real Estate Position/Title: Investment Related: No Start Date: 01/01/2018 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: (3)Name of Business: Cobb Family Properties Llc Address: 25 Clear Lake Rd, Rayville, LA, 71269, United States Activity Type: Rental Real Estate Position/Title: Other Investment Related: Yes Start Date: 04/30/2013 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Member

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1988

Experience

Past

June 4, 2009 - August 9, 2023

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

MONROE, LA

Past

March 18, 1992 - August 9, 2023

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

Monroe, LA

Past

January 23, 1991 - February 27, 1991

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

September 21, 1990 - January 29, 1991

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

September 21, 1990 - January 29, 1991

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

April 25, 1983 - September 23, 1988

A. G. EDWARDS & SONS, INC.

CRD#: 4

Past

October 29, 1980 - May 13, 1983

SCHNEIDER, BERNET & HICKMAN, INC.

CRD#: 750

Past

September 19, 1979 - November 1, 1980

A. G. EDWARDS & SONS, INC.

CRD#: 4

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/12/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 10/6/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 9/15/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 6/26/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/18/1998

General Securities Principal Examination

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA

Registered Investment Advisory firm - (12/23/2008 Approved)

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Contact information

Main Address

880 Carillon Parkway, Saint Petersburg, FL 33716

Mailing Address

Phone number

(727) 567-3020

Established

Firm type

Fiscal year end

# of Employees

6,727

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. WRAP BROCHURE (6/30/2025)

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. FIRM BROCHURE (6/30/2025)

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	Cover Page	Report
08/21/2024	Cover Page	Report
09/27/2023	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Caroline C. Boggs

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

A. G. EDWARDS & SONS, INC.

SCHNEIDER, BERNET & HICKMAN, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/12/1983

SIE

Date: 10/1/2018

Series 5

Date: 10/6/1981

Series 7

Date: 9/15/1979

Series 51

Date: 6/26/2003

Series 24

Date: 11/18/1998

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

TRUST BUT VERIFY

Contact information

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