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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2013-12-23
  • MN RA
    APPROVED
    Since 2013-12-23

Branch Locations

1905 East Wayzata Boulevard Suite 155, Wayzata, MN 55391 • 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
Raymond James Financial Services Wayzata MN 04/2009 Present
Plant Investment Services, Inc. Wayzata MN 09/2009 Present
Raymond James Financial Services Advisors, I Nc Wayzata MN 04/2009 Present
North Shore Capital Management, Llc Wayzata MN 04/2009 Present
Gps Capital Management Wayzata MN 01/2017 01/2020
  • 04/2009 → Present
    Raymond James Financial Services
    Wayzata, MN
  • 09/2009 → Present
    Plant Investment Services, Inc.
    Wayzata, MN
  • 04/2009 → Present
    Raymond James Financial Services Advisors, I Nc
    Wayzata, MN
  • 04/2009 → Present
    North Shore Capital Management, Llc
    Wayzata, MN
  • 01/2017 → 01/2020
    Gps Capital Management
    Wayzata, MN
Other Businesses

(1)Name of Business: Rotary Club of Maple Grove Foundation- President Address: 6900 Wedgewood Road N, Maple Grove, MN, 55311, United States Activity Type: Non profit Position/Title: Chair of the Board, Officer - President Related: Yes Start Date: 07/08/2015 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I will be working with two other financial advisors, a CPA, and a Retired Banker (all members of Rotary Club of Maple Grove) to help guide the Rotary Club Foundation is search for 3rd party investment manager for long term planning. (2) PLANT INVESTMENT SERVICES, INC., WAYZATA, MN Advisor, 09/2009, Investment Related: No (3) NORTH SHORE CAPITAL MANAGEMENT, LLC, WAYZATA, MN Financial Advisor, 04/2009, Investment Related: No

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-01-11
S63 Uniform Securities Agent State Law Examination 2000-12-02
  • S65 Uniform Investment Adviser Law Examination
    2001-01-11
  • S63 Uniform Securities Agent State Law Examination
    2000-12-02
Other Names
  • Steven J Plant

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