RC
RC
Rosemary Caffrey
45 Years of Experience
Clarks Summit, PA
1 DisclosureBroker
Rosemary Caffrey is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Clarks Summit, PA, with 45 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 508,439 clients with $390B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6484 advisors
IM Fee
Planning only
Assets Under Management
$390.0B
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Location
200 Abington Executive Park, Clarks Summit, PA, 18411
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Regulatory History (1)
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Customer Dispute
July 2004Settled
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
September 2016 - Present · 9 yrs 8 mos
Raymond James Financial Services, INC.
August 2016 - Present · 9 yrs 9 mos
Raymond James Financial Services, INC.Broker
August 2016 - Present · 9 yrs 9 mos
Previous Registrations
Wells Fargo Advisors, LLC
November 2013 - August 2016 · 2 yrs 9 mos
Wells Fargo Advisors, LLC
December 2011 - December 2012 · 1 yr
Wells Fargo Advisors, LLCBroker
January 2008 - August 2016 · 8 yrs 7 mos
A. G. Edwards & Sons, INC.Broker
May 1988 - January 2008 · 19 yrs 8 mos
Butcher & Singer INC.Broker
August 1984 - May 1988 · 3 yrs 9 mos
Thomson Mckinnon Securities INC.Broker
September 1983 - June 1984 · 9 mos
Prudential-Bache Securities INC.Broker
August 1980 - October 1983 · 3 yrs 2 mos
Elkins & CO.Broker
August 1980 - May 1982 · 1 yr 9 mos
State Registrations8 states
CAFLKSNJNYPASCVA
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.