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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 2011-05-23
  • CA RA
    APPROVED
    Since 2011-05-23

Branch Locations

17542 East 17Th Street #110, Tustin, CA 92780 • 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 Tustin CA 05/2011 Present
Raymond James Financial Services Advisors, Inc. Tustin CA 05/2011 Present
Foley Financial Inc. Tustin CA 09/2013 Present
City Of Orange, Ca Finance Committee Orange CA 01/2014 Present
  • 05/2011 → Present
    Raymond James Financial Services
    Tustin, CA
  • 05/2011 → Present
    Tustin, CA
  • 09/2013 → Present
    Foley Financial Inc.
    Tustin, CA
  • 01/2014 → Present
    City Of Orange, Ca Finance Committee
    Orange, CA
Previous Registrations
Other Businesses

(1)Name of Business: Foley Financial Inc Address: 17542 17th St Ste 110, Tustin, CA, 92780, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 09/19/2013 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Foley Financial Inc. is the name under which I incorporated my practice. (2)Name of Business: Foley Living Trust Address: 127 N Hidden Cyn, Orange, CA, 92869, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 03/22/2021 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Landlord for Rental Property

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-10-04
S63 Uniform Securities Agent State Law Examination 2002-06-20
  • S65 Uniform Investment Adviser Law Examination
    2006-10-04
  • S63 Uniform Securities Agent State Law Examination
    2002-06-20

View on SEC IAPD

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