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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-07-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services, Inc. | Merced | CA | 01/1997 | 07/2024 |
| Raymond James Financial Services, Inc. | Fresno | CA | 07/2024 | Present |
| Raymond James Financial Services Advisors, Inc. | Fresno | CA | 07/2024 | Present |
| Capital Waypoint | Fresno | CA | 07/2024 | Present |
(1)Name of Business: Address: 1605 E. Santa Fe Dr., Merced, CA, 95340, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 04/01/2024 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: online selling of housewares on EBay (2)Name of Business: Address: 1605 E. Santa Fe Dr., Merced, CA, 95340, United States Activity Type: Other Position/Title: Notary (Paid) Investment Related: No Start Date: 10/03/2010 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: notarizing documents upon request (3)Name of Business: Capital Waypoint Address: 5200 N Palm Ave Ste 301, Fresno, CA, 93704-2227, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 07/15/2024 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 21-40 Description of duties: Office Coordinator, Sr. Registered Client Service Associate. Helping clients and support staff. Placing trades upon demand. Clerical work.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-01-12 |
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