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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 2019-01-24
CA RA APPROVED 2013-07-30
  • TX RA
    APPROVED_RES
    Since 2019-01-24
  • CA RA
    APPROVED
    Since 2013-07-30

Branch Locations

39 E. Union Street, Pasadena, CA 91103 • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James Financial Services, Inc. Pasadena CA 07/2013 Present
Raymond James Financial Services Advisors, Inc. Pasadena CA 07/2013 Present
Previous Registrations
  • 2002-01-23 → 2013-08-06
    Tower Square Securities, Inc.
    Glendale, CA
    Pasadena, CA
Other Businesses

(1)Name of Business: CR Support Community Greater San Gabriel Valley Address: 331 W. Sierra Madre Blvd., Sierra Madre, CA, 91024, United States Activity Type: Non profit Position/Title: Board Member, Finance/Investment Committee Member, Officer - President, Committee Member Investment Related: Yes Start Date: 07/24/2018 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 2-10 Description of duties: President of Board of Directors for non-profit (2)Name of Business: Quintus Financial & Insurance Services, Inc. Address: 39 E Union St, Pasadena, CA, 91103, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 08/02/2013 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Fixed UL & term life insurance; potentially fixed annuity sales. (3)Name of Business: Quintus Investment Counsel Address: 39 E Union St, Pasadena, CA, 91103, United States Activity Type: Support Company - Owner Position/Title: Other, Officer - President Investment Related: No Start Date: 12/01/2001 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Founder/owner

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-12-13
  • S66 Uniform Combined State Law Examination
    2001-12-13

View on SEC IAPD

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