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Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 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 & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-02-10
OR RA APPROVED 2013-10-04
  • TX RA
    APPROVED_RES
    Since 2016-02-10
  • OR RA
    APPROVED
    Since 2013-10-04

Branch Locations

Eugene, OR • United States

Portland, OR • United States

5 Se Martin Luther King, Jr. Blvd, Suite 600, Portland, OR 97214 • 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 & Associates, Inc. Portland OR 10/2013 Present
Previous Registrations
  • 2009-06-01 → 2013-10-15
    Portland, OR
  • 2007-12-06 → 2009-06-01
    Morgan Stanley & Co. Llc
    Portland, OR
Other Businesses

(1) Name of Business: Vacation rental Address: 4635 Paraguay, Buenos Aires, Other, 00000, United States Activity Type: Rental Real Estate Position/Title: Other Investment Related: Yes Start Date: 01/16/2015 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I own a condominium in Buenos Aires Argentina which is used as a vacation rental as well as for personal use.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-10-13
S63 Uniform Securities Agent State Law Examination 1996-07-26
  • S66 Uniform Combined State Law Examination
    2003-10-13
  • S63 Uniform Securities Agent State Law Examination
    1996-07-26

View on SEC IAPD

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