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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-03-13 |
| WA | RA | APPROVED | 2014-02-25 |
Branch Locations
11747 Ne 1St Street Suite 202, Bellevue, WA 98005 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James Financial Services, Inc. | Bellevue | WA | 11/2013 | Present |
| Raymond James Financial Services Advisors Inc. | Bellevue | WA | 02/2014 | Present |
| Hk Financial Group | Bellevue | WA | 11/2013 | Present |
| Nye Financial | Seattle | WA | 07/2017 | Present |
(1)Name of Business: HK Financial Group Address: 11747 NE 1st St Ste 202, Bellevue, WA, 98005, United States Activity Type: Support Company - Non Owner Position/Title: Other Investment Related: No Start Date: 11/01/2013 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Financial Advisor on a team with another RJ advisor Andrew Hergert with a joint FA number we do business under. (2)Name of Business: NYE Financial Address: 202 36th Ave E, Seattle, WA, 98112, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 07/11/2017 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Support Company
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-02-21 |
| S63 | Uniform Securities Agent State Law Examination | 1997-09-11 |
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