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Todd M Rubsamen

Raymond James & Associates, Inc.

Woodbury, CT

New York, NY

CRD 3259970

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Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 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 & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-14
CT RA APPROVED 2020-01-23
  • NY RA
    APPROVED
    Since 2021-06-14
  • CT RA
    APPROVED
    Since 2020-01-23

Branch Locations

Woodbury, CT • United States

320 Park Avenue Fl 14, New York, NY 10022 • 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
Deutsche Bank Securities Inc. New York NY 04/2011 09/2016
Raymond James & Associates, Inc. New York NY 09/2016 Present
Previous Registrations
  • 2008-02-14 → 2008-10-07
    Lehman Brothers Inc.
    New York, NY
    New York, NY
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-10-18
S63 Uniform Securities Agent State Law Examination 1999-11-05
  • S65 Uniform Investment Adviser Law Examination
    2011-10-18
  • S63 Uniform Securities Agent State Law Examination
    1999-11-05

View on SEC IAPD

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