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Raymond James Financial Services Advisors, Inc CRD 149018
$390B regulatory AUM 5,542 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-01-23 |
| IN | RA | APPROVED | 2019-01-07 |
| KY | RA | APPROVED | 2012-06-28 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James Financial Services, Inc | Louisville | KY | 06/2012 | Present |
| Raymond James Financial Services Advisors Inc. | Louisville | KY | 06/2012 | Present |
| Stock Yards Bank And Trust | Louisville | KY | 06/2014 | Present |
(1) Name of Business: Stock Yards Investment Services Address: 1040 E Main St, Louisville, KY, 40206, United States Activity Type: Support Company - Non Owner Position/Title: Officer - Vice President Investment Related: No Start Date: 09/01/2021 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Branch Manager
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-07-25 |
| S63 | Uniform Securities Agent State Law Examination | 1997-07-21 |
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