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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-10-23 |
| MN | RA | APPROVED | 2013-12-23 |
Branch Locations
11 E. Superior Street Suite 500, Duluth, MN 55802 • United States
Cloquet, MN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James Financial Services, Inc. | Duluth | MN | 05/2009 | Present |
| Lake Superior Financial Services, Inc. | Duluth | MN | 05/2009 | 12/2016 |
| Raymond James Finanicial Services Advisors, Inc | Duluth | MN | 05/2009 | Present |
| Ascential Wealth Advisors | Duluth | MN | 01/2017 | 09/2021 |
(1)Name of Business: Ascential Wealth Advisors Address: 11 E Superior Street, Duluth, MN, 55802, United States Activity Type: Support Company - Owner Position/Title: Officer - Treasurer, Officer - Secretary Investment Related: No Start Date: 01/01/2021 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: One of three business owners of the support company Ascential Wealth Advisors which is our Raymond James advisory practice. Manage all day to day business operations.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-01-06 |
| S63 | Uniform Securities Agent State Law Examination | 2001-01-05 |
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