DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Beth Ann Sweeney

Raymond James Financial Services Advisors, IncBD affiliatedHoldrege, Ne dual registrantIAPD 2647529

Feed of 09/15/2026

Also filed as Beth Ann Rosenberg

At current firm

0 y

since Apr 14, 2026

In the industry

30 y

since Jun 3, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Raymond James Financial Services Advisors, Inc BD affiliated current
since Apr 14, 2026 · Miami, Fl
Steward Partners Investment Advisory, LLC BD affiliated
May 15, 2017 to Apr 17, 2026 · Rockland, Ma
Wells Fargo Advisors wirehouse
Jul 1, 2003 to Apr 28, 2017 · Boston, Ma
Prudential Equity Group, LLC unclassified
Jul 21, 1999 to Jul 1, 2003 · Boston, Ma

Moves

a registration end followed by a registration begin elsewhere

Steward Partners Investment Advisory, LLC to Raymond James Financial Services Advisors, Inc
left Apr 17, 2026, registered Apr 14, 2026 (-3 days) · Affiliated broker-dealer or bank to another
Wells Fargo Advisors to Steward Partners Investment Advisory, LLC
left Apr 28, 2017, registered May 15, 2017 (17 days) · Other · moved with a team
Prudential Equity Group, LLC to Wells Fargo Advisors
left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move

Signals

Beth Ann Sweeney left Steward Partners Investment Advisory, Llc for Raymond James Financial Services Advisors, Inc (registered 2026-04-14)
Apr 17, 2026 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address