DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

CAROLYN SUE RAFTERY

Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Burlington, VT

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:e2815c81-ded6-7c0e-c344-537f2c2df0b6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Aug 14, 2001 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 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: Jul 16, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jul 16, 2001
First registration: Aug 14, 2001
Dual registered: yes, broker-dealer
Other names: CAROLYN S BOUCHER|CAROLYN SUE BOUCHER|CARRIE RAFTERY
IAPD individual key: 3269937

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	Apr 22, 2026	n/a	yes	Burlington, VT	Current employment
MORGAN STANLEY	Wirehouse	Oct 13, 2010	May 1, 2026	no	Colchester, VT	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Feb 9, 2007	Sep 30, 2010	no	S. BURLINGTON, VT\|WEEHAWKEN, NJ\|BURLINGTON, VT\|SOUTH BURLINGTON, VT	Previous registration
KEYBANC CAPITAL MARKETS INC.	n/a	Aug 11, 2004	Feb 9, 2007	no	BURLINGTON, VT\|BURLINGTON, VT	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Aug 14, 2001	May 21, 2004	no	SO. BURLINGTON, VT	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
MORGAN STANLEY	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	May 1, 2026	Apr 22, 2026	-9	Firm change	Wirehouse to ibd
UBS FINANCIAL SERVICES INC.	MORGAN STANLEY	Sep 30, 2010	Oct 13, 2010	13	Firm change	Wirehouse to wirehouse
KEYBANC CAPITAL MARKETS INC.	UBS FINANCIAL SERVICES INC.	Feb 9, 2007	Feb 9, 2007	0	Bulk transfer	Other
CITIGROUP GLOBAL MARKETS INC.	KEYBANC CAPITAL MARKETS INC.	May 21, 2004	Aug 11, 2004	82	Firm change	Other

Relationships

Registered with (5)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: current employment
Apr 22, 2026 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Oct 13, 2010 to May 1, 2026factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Feb 9, 2007 to Sep 30, 2010factForm ADV
→ KEYBANC CAPITAL MARKETS INC.Registered adviserregistration: previous registration
Aug 11, 2004 to Feb 9, 2007factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Aug 14, 2001 to May 21, 2004factForm ADV

Dated events

Occurred
May 1, 2026
Advisor changed firm
Carolyn Sue Raftery left Morgan Stanley for Raymond James Financial Services Advisors, Inc (registered 2026-04-22)
Form ADVobserved 6 days ago