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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-11-18
CA RA APPROVED 2019-12-26
  • TX RA
    APPROVED
    Since 2020-11-18
  • CA RA
    APPROVED
    Since 2019-12-26

Branch Locations

9381 E Stockton Blvd Suite 200, Elk Grove, CA 95624 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Edward Jones Elk Grove CA 07/2000 11/2019
Raymond James Financial Services, Inc. Sacramento CA 12/2019 Present
Raymond James Financial Services Advisors, Inc. Sacramento CA 12/2019 Present
Previous Registrations
Other Businesses

(1) Name of Business: Season 59 Financial LLC Address: 9381 E Stockton Blvd Ste 200, Elk Grove, CA, 95624, United States Activity Type: Support Company - Owner Position/Title: Officer - President Investment Related: No Start Date: 12/23/2019 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Managing Partner of this LLC Only operation is to limit liability for investment advisory business Maintain records and pay fees

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-05-24
S63 Uniform Securities Agent State Law Examination 2000-09-14
  • S66 Uniform Combined State Law Examination
    2007-05-24
  • S63 Uniform Securities Agent State Law Examination
    2000-09-14
Designations
Other Names
  • Wade Brendan Lokka

View on SEC IAPD

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