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Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-02-22
NJ RA APPROVED 2009-01-02
  • TX RA
    APPROVED_RES
    Since 2016-02-22
  • NJ RA
    APPROVED
    Since 2009-01-02

Branch Locations

179 Kings Hwy, Woolwich Township, NJ 08085 • 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
Fulton Financial Advisors Woolwich Township NJ 10/2019 10/2019
Raymond James Financial Services Woolwich Township NJ 06/2008 Present
Raymond James Financial Services Advisors, Inc Woolwich Township NJ 01/2009 Present
Rmn Properties Sewell NJ 04/2009 02/2017
Fulton Financial Corporation Woolwich Township NJ 06/2008 Present
Fulton Bank Woolwich Township NJ 06/2008 Present
  • 10/2019 → 10/2019
    Fulton Financial Advisors
    Woolwich Township, NJ
  • 06/2008 → Present
    Raymond James Financial Services
    Woolwich Township, NJ
  • 01/2009 → Present
    Woolwich Township, NJ
  • 04/2009 → 02/2017
    Rmn Properties
    Sewell, NJ
  • 06/2008 → Present
    Fulton Financial Corporation
    Woolwich Township, NJ
  • 06/2008 → Present
    Fulton Bank
    Woolwich Township, NJ
Previous Registrations
  • 2008-05-08 → 2008-06-05
    Cetera Investment Services Llc
    Woolwich Township, NJ
    Woodstown, NJ
    Mantua, NJ
Other Businesses

(1)Name of Business: Fulton Financial Advisors Address: 179 Kings Hwy, Woolwich Township, NJ, 08085, United States Activity Type: Support Company - Non Owner Position/Title: Other Investment Related: No Start Date: 10/29/2019 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Investment sales and Service

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-05-03
S63 Uniform Securities Agent State Law Examination 2002-12-21
  • S66 Uniform Combined State Law Examination
    2008-05-03
  • S63 Uniform Securities Agent State Law Examination
    2002-12-21
Other Names
  • Nicola Sollena
  • Nick Sollena

View on SEC IAPD

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