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Raymond James Financial Services Advisors, Inc CRD 149018
$390B regulatory AUM 5,542 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-11-09 |
| NY | RA | APPROVED | 2021-06-14 |
| CT | RA | APPROVED | 2019-01-08 |
| NJ | RA | APPROVED | 2018-03-28 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Rhinebeck | NY | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Rhinebeck | NY | 11/2016 | 03/2018 |
| Raymond James Financial Services, Inc. | Rhinebeck | NY | 03/2018 | Present |
| Raymond James Financial Services Advisors Inc. | Rhinebeck | NY | 03/2018 | Present |
(1)Name of Business: Rhinebeck Wealth Advisors LLC Address: 6811 Route 9 North, Rhinebeck, NY, 12572, United States Activity Type: Support Company - Non Owner Position/Title: Other Investment Related: No Start Date: 03/09/2018 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 21-40 Description of duties: Ambassador
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-11-16 |
| S63 | Uniform Securities Agent State Law Examination | 1988-07-18 |
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