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Richard Konefal

Director at Raymond James & Associates

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
8
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Richard Konefal is Director of Raymond James & Associates, Inc., a ST. Petersburg investment adviser managing $501B. Richard Konefal has a current broker registration and no current investment-adviser registration and has passed 8 licensing exams.

Role at Raymond James & Associates

Title on Schedule A
Director
Control
Richard Konefal is a control person of Raymond James & Associates.
Ownership
An individual ownership band is not available in the source record.
Tenure
Richard Konefal has held the filed role since January 2026.

The firm

Raymond James & Associates, Inc.
ST. Petersburg, FL

Form ADV filed 25 September 2026

$501B AUM531,617 clients5,683 advisers27 offices

Career on record

Firms and exams, newest first
  1. Passed Series 79TO, Series 99TO and Series 57TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 24 · 2002
  4. Passed Series 63 and Series 4 · 2001
  5. Passed Series 7 · 1994

Registrations and exams

Broker registration; no current adviser registration. Richard Konefal has passed 8 qualifying exams.

Examinations

Series 6322 February 2001
Name
Uniform Securities Agent State Law Examination
Series 2413 February 2002
Name
General Securities Principal Examination
Series 418 October 2001
Name
Registered Options Principal Examination
Series 79TO2 January 2023
Name
Investment Banking Registered Representative Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
Series 57TO2 January 2023
Name
Securities Trader Exam
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 79 July 1994
Name
General Securities Representative Examination

Individual record

Full name
Richard Eugene Konefal
CRD
2431960
Firm
Raymond James & Associates, Inc.
Registration status
Broker registration; no current adviser registration
Firm bio
raymondjames.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Raymond James’ current leadership page lists Rich Konefal in its senior leadership team as Chief Compliance Officer. Official firm biography or team page

Common questions

Where does Richard Konefal work?

Richard Konefal has been Director of Raymond James & Associates, Inc. since January 2026, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 25 September 2026

Does Richard Konefal have a current investment-adviser registration?

Richard Konefal has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Richard Konefal passed?

Richard Konefal has passed 8 licensing exams: the Series 7, Series 63, Series 4, Series 24, SIE, Series 79TO, Series 99TO and Series 57TO. The earliest, the Series 7, was passed in July 1994.

Source: IAPD individual record, checked 17 October 2026

Leadership at Raymond James & Associates

Sources

  1. IAPD individual record, CRD 2431960. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Raymond James & Associates, Inc., filed 25 September 2026. Title, control and ownership bands.
  3. Raymond James & Associates team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Richard Konefal or Raymond James & Associates, Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.