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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2016-10-25 |
Branch Locations
305 Neal St., Grass Valley, CA 95945 • United States
709 Sutton Way, Grass Valley, CA 95945 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial | Roseville | CA | 08/2010 | 10/2016 |
| Raymond James Financial Services, Inc. | Yuba City | CA | 10/2016 | Present |
| Tri-Counties Bank | Grass Valley | CA | 10/2016 | Present |
| Raymond James Financial Services Advisors Inc. | Yuba City | CA | 10/2016 | Present |
| Clarke Financial Group, Inc. | Roseville | CA | 03/2018 | Present |
(1)Name of Business: Tri Counties Advisors Address: 305 Neal St, Grass Valley, CA, 95945, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: Yes Start Date: 10/26/2016 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Financial/investment advice.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-05-16 |
| S63 | Uniform Securities Agent State Law Examination | 1997-05-09 |
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