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Richard A Sofka

Raymond James & Associates, Inc.

Mayville, NY

Westlake, OH

Lakewood, OH

CRD 5636861

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Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-07-31
TX RA APPROVED 2023-06-09
OH RA APPROVED 2023-05-25
  • NY RA
    APPROVED
    Since 2025-07-31
  • TX RA
    APPROVED
    Since 2023-06-09
  • OH RA
    APPROVED
    Since 2023-05-25

Branch Locations

Mayville, NY • United States

159 Crocker Park Blvd. Suite 390, Westlake, OH 44145 • United States

Lakewood, OH • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Cleveland OH 01/2009 05/2023
Bank Of America, Na Cleveland OH 12/2009 05/2023
Raymond James & Associates Wastlake OH 05/2023 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-06-08
  • S66 Uniform Combined State Law Examination
    2009-06-08

View on SEC IAPD

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