Best Investors Account Sign in
Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-09-07
ME RA APPROVED 2015-12-03
  • TX RA
    APPROVED_RES
    Since 2018-09-07
  • ME RA
    APPROVED
    Since 2015-12-03

Branch Locations

475 Pleasant Street Suite 13, Lewiston, ME 04240 • 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, Inc. Lewiston ME 12/2015 Present
Raymond James Financial Services Advisors Inc. Lewiston ME 12/2015 Present
Previous Registrations
  • 2011-09-07 → 2015-12-09
    Topsham, ME
    Freeport, ME
    Lewiston, ME
    Lewiston, ME
Other Businesses

(1) Name of Business: Investment Concepts Address: 475 Pleasant St Ste 13, Lewiston, ME, 04240, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 11/30/2015 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: I have a book of business with client accounts and serve in a financial advisory capacity for those. I also have administrative duties for the firm, processing paperwork, system notes, etc.This is my primary employment. (2) Name of Business: Shawn Wright DBA Shawn Wright, Financial Advisor Address: 475 Pleasant St Ste 13, Lewiston, ME, 04240, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 08/09/2020 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I still hold out my advisory practice under our Branch AYG as Investment Concepts (see other OBA disclosed). But since I moved to direct pay with RJ on Aug 10th 2020, I have kept my business accounting separate. I operate as a sole prop

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-08-26
S63 Uniform Securities Agent State Law Examination 1997-08-08
  • S65 Uniform Investment Adviser Law Examination
    2015-08-26
  • S63 Uniform Securities Agent State Law Examination
    1997-08-08
Other Names
  • Shawn Bonita Richard

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Lewiston, ME

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor