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Detailed Report
Doreen Anne Gest
DOREEN HALLER GEST, DOREEN ANNE HALLER
CRD#: 1182429
IA
Investment Adviser
B
Broker
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 6550 N Federal Highway
Suite 505
Fort Lauderdale, FL 33308
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 6550 N Federal Highway
Suite 505
Fort Lauderdale, FL 33308
Registration History
1985199019952000200520102015202020252 FIRMS2001 - 2003 (2 years)2 FIRMS2015 - 2023 (7 years)2 FIRMS2023 - Present (1 year)BMORGAN STANLEY (CRD# 149777)2013 - 2015 (1 year)BNATIONAL SECURITIES CORPORATION (CRD# 7569)2013 - 2013 (<1 year)BPRIME CAPITAL SERVICES, INC. (CRD# 18334)2012 - 2013 (1 year)BBROOKSTREET SECURITIES CORPORATION (CRD# 14667)2003 - 2007 (3 years)BUBS PAINEWEBBER INC. (CRD# 8174)1998 - 2001 (2 years)BFIRST UNION BROKERAGE SERVICES... (CRD# 8112)1993 - 1997 (4 years)BATLAS SECURITIES, INC. (CRD# 20991)1991 - 1992 (<1 year)BFIDELITY BROKERAGE SERVICES, INC. (CRD# 7784)1990 - 1991 (1 year)BSECURITY PACIFIC INVESTMENTS, INC. (CRD# 12965)1988 - 1990 (1 year)BADVEST, INC. (CRD# 10)1987 - 1988 (<1 year)BPAINEWEBBER INCORPORATED (CRD# 8174)1986 - 1987 (<1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1985 - 1986 (1 year)IAMORGAN STANLEY (CRD# 149777)2014 - 2015 (<1 year)
Disclosure(s)
View By:
11/25/2003
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 4/28/2023
B
New Hampshire 4/28/2023
B
Arizona 4/28/2023
B
New Jersey 4/28/2023
B
California 4/28/2023
B
New York 4/28/2023
B
Colorado 4/28/2023
B
North Carolina 4/28/2023
B
Connecticut 4/28/2023
B
Ohio 4/28/2023
B
Florida 4/28/2023
B
Oklahoma 4/28/2023
IA
Florida 5/3/2023
B
Oregon 4/28/2023
B
Georgia 4/28/2023
B
Pennsylvania 4/28/2023
B
Illinois 4/28/2023
B
South Carolina 4/28/2023
B
Indiana 4/28/2023
B
Tennessee 4/28/2023
B
Kentucky 4/28/2023
B
Texas 4/28/2023
B
Louisiana 4/28/2023
B
Virginia 4/18/2024
B
Maryland 4/28/2023
B
Washington 4/28/2023
B
Michigan 4/28/2023
B
Wisconsin 4/28/2023
B
Minnesota 6/1/2023
B
Wyoming 4/28/2023
B
Nevada 4/28/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018)
6550 N Federal Highway Suite 505, Fort Lauderdale, FL 33308
Registered with this firm since 5/3/2023
B
RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694)
6550 N Federal Highway Suite 505, Fort Lauderdale, FL 33308
Registered with this firm since 4/28/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/15/2015 - 05/12/2023 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) Ft Lauderdale, FL
B
 06/12/2015 - 05/12/2023 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) Ft Lauderdale, FL
IA
 12/18/2014 - 06/18/2015 MORGAN STANLEY (CRD#:149777) FT. LAUDERDALE, FL
B
 12/05/2013 - 06/18/2015 MORGAN STANLEY (CRD#:149777) FT. LAUDERDALE, FL
B
 11/22/2013 - 12/03/2013 NATIONAL SECURITIES CORPORATION (CRD#:7569) BOCA RATON, FL
B
 10/09/2012 - 11/22/2013 PRIME CAPITAL SERVICES, INC. (CRD#:18334) BOCA RATON, FL
B
 08/01/2003 - 07/23/2007 BROOKSTREET SECURITIES CORPORATION (CRD#:14667) FT. LAUDERDALE, FL
IA
 04/06/2001 - 08/06/2003 A. G. EDWARDS & SONS, INC. (CRD#:4) FORT LAUDERDALE, FL
B
 04/06/2001 - 08/06/2003 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. LOUIS, MO
B
 11/30/1998 - 04/09/2001 UBS PAINEWEBBER INC. (CRD#:8174) WEEHAWKEN, NJ
B
 03/21/1993 - 07/22/1997 FIRST UNION BROKERAGE SERVICES, INC. (CRD#:8112) CHARLOTTE, NC
B
 09/05/1991 - 05/26/1992 ATLAS SECURITIES, INC. (CRD#:20991) SAN LEANDRO, CA
B
 01/26/1990 - 02/13/1991 FIDELITY BROKERAGE SERVICES, INC. (CRD#:7784) SMITHFIELD, RI
B
 04/15/1988 - 02/03/1990 SECURITY PACIFIC INVESTMENTS, INC. (CRD#:12965) OAKLAND, CA
B
 08/14/1987 - 04/12/1988 ADVEST, INC. (CRD#:10)
B
 08/02/1986 - 07/13/1987 PAINEWEBBER INCORPORATED (CRD#:8174)
B
 07/03/1985 - 08/26/1986 DEAN WITTER REYNOLDS INC. (CRD#:7556)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.