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Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2018-04-25
TX RA APPROVED 2018-04-24
  • GA RA
    APPROVED
    Since 2018-04-25
  • TX RA
    APPROVED
    Since 2018-04-24

Branch Locations

200 Macy Drive, Roswell, GA 30075 • 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
Wells Fargo Clearing Services, Llc Alpharetta GA 05/2009 04/2018
Raymond James Financial Services, Inc. Roswell GA 04/2018 Present
Raymond James Financial Services Advisors, Inc. Roswell GA 04/2018 Present
Roswell 4 Freedom, Llc Roswell GA 04/2018 Present
Previous Registrations
  • 2008-01-01 → 2018-04-30
    Alpharetta, GA
    Alpharetta, GA
  • 2003-03-18 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Alpharetta, GA
    Alpharetta, GA
    St. Louis, MO
Other Businesses

(1)Name of Business: Evens Wealth Management, LLC Address: 200 Macy Drive, Roswell, GA, 30076, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 04/24/2018 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Financial Advisor/business owner

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1988-06-27
  • S63 Uniform Securities Agent State Law Examination
    1988-06-27

View on SEC IAPD

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