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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-06-14
TX RA APPROVED_RES 2021-06-14
  • CA RA
    APPROVED
    Since 2021-06-14
  • TX RA
    APPROVED_RES
    Since 2021-06-14

Branch Locations

1755 W Hammer Lane Suite 8, Stockton, CA 95209 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Bbva Compass Insurance Agency, Inc. Austin TX 05/2012 06/2021
Bbva Wealth Solutions Inc. Stockton CA 10/2010 06/2021
Bbva Securities Inc. Stockton CA 05/2013 06/2021
Compass Bank Birmingham AL 08/2009 06/2021
Raymond James Financial Services, Inc. Stockton CA 06/2021 Present
Raymond James Financial Services Advisors, Inc. Stockton CA 06/2021 Present
  • 05/2012 → 06/2021
    Bbva Compass Insurance Agency, Inc.
    Austin, TX
  • 10/2010 → 06/2021
    Bbva Wealth Solutions Inc.
    Stockton, CA
  • 05/2013 → 06/2021
    Bbva Securities Inc.
    Stockton, CA
  • 08/2009 → 06/2021
    Compass Bank
    Birmingham, AL
  • 06/2021 → Present
    Raymond James Financial Services, Inc.
    Stockton, CA
  • 06/2021 → Present
    Stockton, CA
Previous Registrations
  • 2010-10-15 → 2021-06-14
    Pnc Managed Account Solutions, Inc.
    Houston, TX
    Houston, TX
    Stockton, CA
  • 2010-04-08 → 2010-10-15
    St Johns Wealth Management
    Stockton, CA
  • 2008-09-29 → 2009-12-23
    Cetera Investment Services Llc
    Stockton, CA
  • 2002-05-24 → 2003-11-20
    Waddell & Reed
    Lodi, CA
Other Businesses

(1) Name of Business: Barnes & Quesada Address: 1692 W Hibiscus Blvd, Melbourne, FL, 32901-2631, United States Activity Type: Accounting/CPA Position/Title: Other Investment Related: No Start Date: 05/15/2026 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Tax Preparation when needed (2) Name of Business: CPA Financial Enrichment Group Address: 1692 W Hibiscus Blvd, Melbourne, FL, 32901, United States Activity Type: Support Company - Non Owner Position/Title: Other Investment Related: No Start Date: 02/05/2020 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Assistant (3) Name of Business: IW Cooper Consulting LLC Address: 3001 Albert Ct, Melbourne, FL, 32935, United States Activity Type: Accounting/CPA Position/Title: Bookkeeper Investment Related: No Start Date: 11/01/2025 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Quickbooks Input

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-08-18
  • S66 Uniform Combined State Law Examination
    2008-08-18

View on SEC IAPD

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