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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2018-09-07 |
| ME | RA | APPROVED | 2015-12-03 |
Branch Locations
475 Pleasant Street Suite 13, Lewiston, ME 04240 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James Financial Services, Inc. | Lewiston | ME | 12/2015 | Present |
| Raymond James Financial Services Advisors Inc. | Lewiston | ME | 12/2015 | Present |
(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
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-08-26 |
| S63 | Uniform Securities Agent State Law Examination | 1997-08-08 |
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