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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| ME | RA | APPROVED | 2023-09-25 |
Branch Locations
475 Pleasant Street Suite 13, Lewiston, ME 04240 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James Financial Services, Inc. | Lewiston | ME | 12/2015 | Present |
| Investment Concepts | Lewiston | ME | 12/2015 | Present |
| Maine Rsu 4 | Wales | ME | 03/2016 | Present |
| Raymond James Financial Services Advisors, Inc | Lewiston | ME | 09/2023 | Present |
(1)Name of Business: Investment Concepts Address: 475 Pleasant St Ste 13, Lewiston, ME, 04240, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 12/01/2015 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Branch manager and advising clients I am now the owner as my father has retired
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-08-25 |
| S63 | Uniform Securities Agent State Law Examination | 2001-09-24 |
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