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Brian Benjamin Dag

Raymond James & Associates, Inc.

Oakbrook Terrace, IL

CRD 4239855

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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
IL RA APPROVED 2019-11-12
  • IL RA
    APPROVED
    Since 2019-11-12

Branch Locations

1 Mid America Plz Suite 800, Oakbrook Terrace, IL 60181 • 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
Charles Schwab & Co., Inc. Chicago IL 11/2014 12/2018
Charles Schwab Bank Chicago IL 11/2014 12/2018
Brooklight Place Securities, Inc. Downers Grove IL 12/2018 11/2019
Raymond James & Associates, Inc Oakbrook Terrace IL 11/2019 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-08-03
S63 Uniform Securities Agent State Law Examination 2015-01-07
  • S66 Uniform Combined State Law Examination
    2018-08-03
  • S63 Uniform Securities Agent State Law Examination
    2015-01-07

View on SEC IAPD

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