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Current Employers
Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
OR RA APPROVED 2023-10-23
WA RA APPROVED 2023-10-19
  • OR RA
    APPROVED
    Since 2023-10-23
  • WA RA
    APPROVED
    Since 2023-10-19

Branch Locations

316 E. 3Rd Street, The Dalles, OR 97058 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cetera Investment Services Llc St Cloud MN 07/1997 10/2023
Columbia State Bank The Dalles OR 01/2010 03/2023
Cetera Investment Advisers Llc The Dalles OR 01/2014 10/2023
Umpqua Bank The Dalles OR 03/2023 Present
Raymond James Financial Services Advisors, Inc. The Dalles OR 10/2023 Present
Raymond James Financial Services, Inc. The Dalles OR 10/2023 Present
  • 07/1997 → 10/2023
    Cetera Investment Services Llc
    St Cloud, MN
  • 01/2010 → 03/2023
    Columbia State Bank
    The Dalles, OR
  • 01/2014 → 10/2023
    The Dalles, OR
  • 03/2023 → Present
    Umpqua Bank
    The Dalles, OR
  • 10/2023 → Present
    The Dalles, OR
  • 10/2023 → Present
    Raymond James Financial Services, Inc.
    The Dalles, OR
Previous Registrations
  • 2014-01-21 → 2023-10-18
    The Dalles, OR
    Goldendale, WA
  • 1998-07-07 → 2014-01-21
    Cetera Investment Services Llc
    Hood River, OR
    Goldendale, WA
    The Dalles, OR
    The Dalles, OR
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-06-04
S63 Uniform Securities Agent State Law Examination 1988-07-11
  • S65 Uniform Investment Adviser Law Examination
    1998-06-04
  • S63 Uniform Securities Agent State Law Examination
    1988-07-11

View on SEC IAPD

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