RG
RG
Raymond Gutowski
30 Years of Experience
Devon, PA
10 DisclosuresBroker
Raymond Gutowski is a registered investment advisor at Raymond James & Associates, INC., based in Devon, PA, with 30 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
92 Lancaster Avenue, Suite 205, Devon, PA, 19333
Get directionsHistory
Regulatory History (10)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
July 2016Settled
Customer Dispute
November 2012Settled
Customer Dispute
April 2011Settled
Customer Dispute
November 2010Settled
Customer Dispute
September 2008Denied
Customer Dispute
October 2002Settled
Customer Dispute
March 2002Settled
Customer Dispute
September 2001Denied
Customer Dispute
November 2000Denied
Customer Dispute
January 2000Denied
Other Business Activities
Raymond is a co-trustee/successor trustee for Gutowski Lorett since 2019, along with his brother and mother. He spends minimal time on this activity.
Employment History
Current Registrations
Raymond James & Associates, INC.
April 2014 - Present · 12 yrs 1 mo
Raymond James & Associates, INC.Broker
October 2002 - Present · 23 yrs 7 mos
Previous Registrations
Wachovia Securities, INC.Broker
October 1999 - October 2002 · 3 yrs
Wachovia Securities, INC.
July 1996 - October 2002 · 6 yrs 3 mos
First Union Capital Markets CORP.Broker
May 1996 - October 1999 · 3 yrs 5 mos
Planco Financial Services, INC.Broker
February 1995 - February 1996 · 1 yr
State Registrations27 states
ALAZCACOCTDCDEFLGAILKYLAMAMDMINCNJNMNVNYORPASCTNTXUTVA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.