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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
CT RA APPROVED 2026-02-25
TX RA APPROVED_RES 2026-02-16
  • CT RA
    APPROVED
    Since 2026-02-25
  • TX RA
    APPROVED_RES
    Since 2026-02-16

Branch Locations

Ridgefield, CT • United States

Disclosures

2 disclosure categories 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. North Haven CT 07/2009 06/2019
Lpl Financial Llc North Haven CT 06/2019 02/2026
Raymond James Financial Services Advisors, Inc. Ridgefield CT 02/2026 Present
Raymond James Financial Services, Inc. Ridgefield CT 02/2026 Present
Previous Registrations
Other Businesses

(1)Name of Business: RPK Wealth Group Address: 880 Carillon Pkwy, St. Petersburg, FL, 33716, United States Activity Type: Support Company - Owner Position/Title: Associate/Employee Investment Related: No Start Date: 02/13/2026 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Register principal of the financial advising office (2)Name of Business: Russell Karpf and Associates LLC Address: 234 mountain rd, ridgefield, CT, 06877, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 04/01/2005 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Business owner previously used for my financial planning practice

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-01-15
  • S66 Uniform Combined State Law Examination
    2000-01-15

View on SEC IAPD

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