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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2021-05-06
  • WA RA
    APPROVED
    Since 2021-05-06

Branch Locations

18323 Bothell Everett Hwy Suite 330, Bothell, WA 98012 • 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
Wells Fargo Advisors Edmonds WA 09/2011 11/2016
Wells Fargo Clearing Services, Llc Edmonds WA 11/2016 05/2021
Raymond James Finanical Services, Inc Bellevue WA 05/2021 Present
Raymond James Finanical Services Advisors, Inc Bellevue WA 05/2021 Present
Scott's Cutting Edge Lawn Care, Inc Snohonish WA 02/1995 Present
Rental Property Snohanish WA 08/2016 Present
Legacy Wealth Partners Bothell WA 05/2021 Present
  • 09/2011 → 11/2016
    Wells Fargo Advisors
    Edmonds, WA
  • 11/2016 → 05/2021
    Edmonds, WA
  • 05/2021 → Present
    Raymond James Finanical Services, Inc
    Bellevue, WA
  • 05/2021 → Present
    Raymond James Finanical Services Advisors, Inc
    Bellevue, WA
  • 02/1995 → Present
    Scott's Cutting Edge Lawn Care, Inc
    Snohonish, WA
  • 08/2016 → Present
    Rental Property
    Snohanish, WA
  • 05/2021 → Present
    Legacy Wealth Partners
    Bothell, WA
Previous Registrations
Other Businesses

(1)Name of Business: Legacy Wealth Partners Address: 18323 Bothell Everett Hwy Ste 330, Bothell, WA, 98012, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 05/06/2021 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Senior registered client associate (2)Name of Business: Scott's Cutting Edge Lawn Care, Inc Address: 17411 87th Ave SE, Snohomish, WA, 98296, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 02/01/1995 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Billing and general bookkeeping functions

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-12-29
S63 Uniform Securities Agent State Law Examination 1997-10-10
  • S66 Uniform Combined State Law Examination
    2018-12-29
  • S63 Uniform Securities Agent State Law Examination
    1997-10-10
Other Names
  • Monica M Rock

View on SEC IAPD

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