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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2013-05-10
IL RA APPROVED 2009-01-02
  • TX RA
    APPROVED_RES
    Since 2013-05-10
  • IL RA
    APPROVED
    Since 2009-01-02

Branch Locations

36 Main Street Suite 101, Park Ridge, IL 60068 • 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
Raymond James Financial Services Park Ridge IL 05/2006 Present
Raymond James Financial Services Advisors, Inc Park Ridge IL 01/2009 Present
Independent Advisor Network, Llc Park Ridge IL 12/2013 Present
Krause Investment Group Park Ridge IL 07/2013 Present
  • 05/2006 → Present
    Raymond James Financial Services
    Park Ridge, IL
  • 01/2009 → Present
    Park Ridge, IL
  • 12/2013 → Present
    Independent Advisor Network, Llc
    Park Ridge, IL
  • 07/2013 → Present
    Krause Investment Group
    Park Ridge, IL
Previous Registrations
  • 2003-06-26 → 2006-06-01
    Ameriprise Advisor Services, Inc.
    Chicago, IL
    Chicago, IL
Other Businesses

(1) Name of Business: Address: 6801 North Wilhelm Road, LaPorte, IN, 46350, United States Activity Type: Non profit Position/Title: Board Member, Executive Member, Committee Member Investment Related: Yes Start Date: 02/17/2016 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Member - Board of Trustees\nFinance Committee Member\nChair-Committee on Trustees (2) Name of Business: Independent Advisor Network, LLC Address: 36 Main St Ste 101, Park Ridge, IL, 60068, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 12/04/2013 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Renting office space. (3) Name of Business: Krause Investment Group Address: 36 Main St Ste 101, Park Ridge, IL, 60068, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 07/01/2013 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Simple DBA for Advisor Business

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-07-11
S63 Uniform Securities Agent State Law Examination 1999-07-30
  • S65 Uniform Investment Adviser Law Examination
    2001-07-11
  • S63 Uniform Securities Agent State Law Examination
    1999-07-30

View on SEC IAPD

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