Role at Raymond James & Associates
- Title on Schedule A
- Chief Compliance Officer
- Control
- Shawn Barko is a control person of Raymond James & Associates.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Shawn Barko has held the filed role since December 2017.
The firm
Form ADV filed 25 September 2026
Career on record
Shawn Barko has been registered through Raymond James & Associates since May 2008.
- Raymond James Financial Services Advisors, IncCurrent– present · 1 yearSaint Petersburg, FL · Adviser representative · Firm CRD 149018
- Passed Series 79TO · 2023
- Passed SIE · 2018
- Passed Series 31 · 2012
- Morgan Keegan & Company, Inc.– · under a yearSt. Petersburg, FL · Adviser representative · Firm CRD 4161
- Passed Series 4 · 2009
- – present · 18 yearsSt. Petersburg, FL · Adviser representative · Firm CRD 705
- Passed Series 14 and Series 65 · 2008
- Passed Series 9 · 2006
- Passed Series 10 · 2005
- Passed Series 24 and Series 63 · 1999
- Passed Series 7 · 1998
Registrations and exams
Shawn Barko has a current investment-adviser registration in Florida and has passed 11 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Florida | Investment adviser representative | Approved | 29 May 2008 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 21 May 2008 |
| Series 63 | Uniform Securities Agent State Law Examination | 21 December 1999 |
| Series 4 | Registered Options Principal Examination | 20 February 2009 |
| Series 14 | Compliance Officer Examination | 7 March 2008 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 17 February 2006 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 23 November 2005 |
| Series 24 | General Securities Principal Examination | 16 February 1999 |
| Series 79TO | Investment Banking Registered Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 31 | Futures Managed Funds Examination | 21 December 2012 |
| Series 7 | General Securities Representative Examination | 31 March 1998 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Registered Options Principal Examination
- Name
- Compliance Officer Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Principal Examination
- Name
- Investment Banking Registered Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Futures Managed Funds Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Shawn Joseph Barko
- CRD
- 2690394
- Registration status
- Investment adviser and broker registrations
- Office
- 880 CARILLON PARKWAY, St. Petersburg, FL 33716
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
Common questions
Where does Shawn Barko work?
Shawn Barko has been Chief Compliance Officer of Raymond James & Associates, Inc. since December 2017, and is a control person of the firm.
Is Shawn Barko a financial advisor?
Yes. Shawn Barko has a current investment-adviser registration in Florida, through Raymond James & Associates since May 2008, as of 17 October 2026.
How many years of experience does Shawn Barko have?
Shawn Barko has worked in the financial industry for 28 years as of 17 October 2026, counted from 1 April 1998, across 3 adviser firms.
What exams has Shawn Barko passed?
Shawn Barko has passed 11 licensing exams: the Series 7, Series 24, Series 63, Series 10, Series 9, Series 14, Series 65, Series 4, Series 31, SIE and Series 79TO. The earliest, the Series 7, was passed in March 1998.
Where is Shawn Barko based?
Shawn Barko’s registered office is in St. Petersburg, FL.
Leadership at Raymond James & Associates
- Tashtego Spring ElwynPresident - Chief Executive Officer Director
- Philip Roger MartinRIA Chief Compliance Officer
- James BunnDirector
- Scott CurtisDirector
- Allyssa Nicole DeleonPrincipal Financial Officer / FINOP
- Richard Eugene KonefalDirector
- Keith G RustDirector, Principal Operations Officer
- Jonathan SantelliGeneral Counsel / Secretary
- James Philip SicklingDirector