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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

Kathleen Diane Toschi

Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Gold River, CA | Rancho Cordova, CA

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Search this name across graphsid dfx:ria:d4621dd3-2a71-17ba-a3fb-3fba56987931

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Oct 17, 2017 to Sep 15, 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 FINANCIAL SERVICES ADVISORS, INC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 22, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Aug 22, 2014
First registration: Oct 17, 2017
Dual registered: yes, broker-dealer
Other names: KATHLEEN DIANE FRIEDRICHS|KATHLEEN Diane TOSCHI|KATHLEEN TOSCHI
IAPD individual key: 6351572

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 FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jan 15, 2026	n/a	yes	Gold River, CA\|Rancho Cordova, CA	Current employment
EDWARD JONES	National bd RIA	Mar 12, 2021	Jan 16, 2026	no	SACRAMENTO, CA\|Sacramento, CA\|Sacramento, CA\|SACRAMENTO, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	May 1, 2019	Mar 15, 2021	no	SACRAMENTO, CA\|NEW YORK, NY	Previous registration
MOTIF CAPITAL MANAGEMENT, INC.	Former SEC adviser	Oct 17, 2017	Apr 15, 2019	no	Rancho Cordova, CA\|SAN MATEO, 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
EDWARD JONES	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jan 16, 2026	Jan 15, 2026	-1	Firm change	Ibd to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	EDWARD JONES	Mar 15, 2021	Mar 12, 2021	-3	Firm change	Wirehouse to ibd
MOTIF CAPITAL MANAGEMENT, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Apr 15, 2019	May 1, 2019	16	Firm change	Other

Relationships

Registered with (4)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: current employment
Jan 15, 2026 to presentfactForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Mar 12, 2021 to Jan 16, 2026factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
May 1, 2019 to Mar 15, 2021factForm ADV
→ MOTIF CAPITAL MANAGEMENT, INC.Registered adviserregistration: previous registration
Oct 17, 2017 to Apr 15, 2019factForm ADV

Dated events

Occurred
Jan 16, 2026
Advisor changed firm
Kathleen Diane Toschi left Edward Jones for Raymond James Financial Services Advisors, Inc (registered 2026-01-15)
Form ADVobserved 5 days ago