DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

Karrie Simm

Advisor at RAYMOND JAMES & ASSOCIATES, INC.

WESTLAKE, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7ee28468-4102-2277-c7b1-8f87a88cdfa6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Apr 8, 2009 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RAYMOND JAMES & ASSOCIATES, INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 8, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jun 21, 2023
First registration: Apr 8, 2009
Dual registered: yes, broker-dealer
Other names: KARRIE SIMM|KARRIE ANN MOVSESIAN|KARRIE ANN SIMM|Karrie Movsesian|Karrie a Simm
IAPD individual key: 5637397

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Jan 31, 2025	n/a	yes	WESTLAKE, OH	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 5, 2023	Jan 15, 2025	no	Cleveland, OH\|ISELIN, NJ\|Cleveland, OH\|MARIETTA, GA\|ROCKY RIVER, OH	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 6, 2010	Jan 17, 2019	no	SANTA MONICA, CA\|WEST LOS ANGELES, CA\|LOS ANGELES, CA\|LOS ANGELES, CA\|LOS ANGELES, CA\|LOS ANGELES, CA\|PLAYA DEL REY, CA\|NEW YORK, NY\|SANTA CLARITA, CA\|PEPPER PIKE, OH\|WESTERVILLE, OH\|SANTA CLARITA, CA\|FRISCO, TX	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Apr 8, 2009	Apr 7, 2010	no	CULVER CITY, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	RAYMOND JAMES & ASSOCIATES, INC.	Jan 15, 2025	Jan 31, 2025	16	Firm change	Wirehouse to ibd
WELLS FARGO INVESTMENTS, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Apr 7, 2010	Apr 6, 2010	-1	Firm change	Other

Relationships

Registered with (3)

→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: current employment
Jan 31, 2025 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 5, 2023 to Jan 15, 2025factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Apr 8, 2009 to Apr 7, 2010factForm ADV

Dated events

Occurred
Jan 15, 2025
Advisor changed firm
Karrie Simm left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Raymond James & Associates, Inc. (registered 2025-01-31)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7ee28468-4102-2277-c7b1-8f87a88cdfa6
First observed: Apr 8, 2009
Last observed: Sep 14, 2026 7 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

Karrie Simm

Advisor at RAYMOND JAMES & ASSOCIATES, INC.

WESTLAKE, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7ee28468-4102-2277-c7b1-8f87a88cdfa6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:41 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

RAYMOND JAMES & ASSOCIATES, INC.

National bd RIA

Jan 31, 2025

n/a

yes

WESTLAKE, OH

Current employment

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

Sep 5, 2023

Jan 15, 2025

Cleveland, OH|ISELIN, NJ|Cleveland, OH|MARIETTA, GA|ROCKY RIVER, OH

Previous registration

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

Apr 6, 2010

Jan 17, 2019

Previous registration

WELLS FARGO INVESTMENTS, LLC

n/a

Apr 8, 2009

Apr 7, 2010

CULVER CITY, CA

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RAYMOND JAMES & ASSOCIATES, INC.

Jan 15, 2025

Jan 31, 2025

Firm change

Wirehouse to ibd

WELLS FARGO INVESTMENTS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Apr 7, 2010

Apr 6, 2010

-1

Firm change

Other