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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2015-11-04 |
Branch Locations
14707 South Dixie Highway Suite 300, Miami, FL 33176 • United States
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 |
|---|---|---|---|---|
| Raymond James Financial Services, Inc. | Miami | FL | 10/2015 | Present |
| Raymond James Financial Services Advisors, Inc. | Miami | FL | 11/2015 | Present |
| Roque Investment Strategies | Miami | FL | 05/2016 | Present |
(1) Name of Business: Roque Investment Strategies Address: 14707 S Dixie Hwy Ste 300, Miami, FL, 33176, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 05/03/2016 Hours per month devoted to this business: 21-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Support company
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-10-01 |
| S63 | Uniform Securities Agent State Law Examination | 2003-02-19 |
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