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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2023-04-24 |
| TX | RA | APPROVED_RES | 2023-04-21 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley & Co. Incorporated | Oak Brook | IL | 12/2008 | 11/2017 |
| Morgan Stanley Smith Barney | Oak Brook | IL | 06/2009 | 11/2017 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 11/2017 |
| Raymond James & Associates | Oakbrook | IL | 11/2017 | 04/2023 |
| The Dow Group | Elmhurst | IL | 04/2023 | Present |
| Raymond James Financial Services, Inc. | Elmhurst | IL | 04/2023 | Present |
| Raymond James Financial Services Advisors, Inc. | Elmhurst | IL | 04/2023 | Present |
(1)Name of Business: The Dow Group Address: 1901 Butterfield Rd, Suite 100, Downers Grove, IL, 60515-7915, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 10/31/2017 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Owner, Managing Partner
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-05-23 |
| S63 | Uniform Securities Agent State Law Examination | 1997-05-13 |
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