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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_RES 2019-01-23
CA RA APPROVED 2009-02-11
  • TX RA
    APPROVED_RES
    Since 2019-01-23
  • CA RA
    APPROVED
    Since 2009-02-11

Branch Locations

115 S School St Suite 10, Lodi, CA 95240 • United States

215 West Oak Street Suite 1, Lodi, CA 95240 • 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, Inc Lodi CA 01/2009 Present
Raymond James Financial Services Advisors Inc. Lodi CA 02/2009 Present
Non-Variable Ltc Insurance Lodi CA 01/2005 Present
Hickingbottom Financial Services Lodi CA 05/2021 Present
  • 01/2009 → Present
    Raymond James Financial Services, Inc
    Lodi, CA
  • 02/2009 → Present
    Lodi, CA
  • 01/2005 → Present
    Non-Variable Ltc Insurance
    Lodi, CA
  • 05/2021 → Present
    Hickingbottom Financial Services
    Lodi, CA
Previous Registrations
  • 2005-02-01 → 2009-01-30
    National Planning Corporation
    Lodi, CA
    Lodi, CA
  • 2006-01-13 → 2008-01-11
    Kipp Financial Group, Inc.
    Lodi, CA
  • 2002-12-09 → 2005-01-07
    Lodi, CA
  • 2004-12-10 → 2004-12-17
    Roseville, CA
  • 2001-02-07 → 2002-12-09
    Osaic Fa, Inc.
    Sacramento, CA
Other Businesses

(1)Name of Business: Address: 135 N. Church St., Ste. 1 , Lodi, CA, 95240, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 01/01/2005 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Renewal commissions from previously written LTC policies (2)Name of Business: (209)333-4505 Address: 135 N Church St Ste 1, Lodi, CA, 95240, United States Activity Type: Non-variable Insurance Position/Title: Owner Investment Related: Yes Start Date: 03/04/2019 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Write direct fixed annuity business. (3)Name of Business: Hickingbottom Financial Services Address: 135 N Church St Ste 1, Lodi, CA, 95240, United States Activity Type: Support Company - Owner Position/Title: Officer - CEO Investment Related: No Start Date: 05/28/2021 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Branch Owner/Operator

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-01-15
  • S66 Uniform Combined State Law Examination
    2001-01-15

View on SEC IAPD

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