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Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-06-09
AK RA APPROVED 2021-01-14
  • TX RA
    APPROVED_RES
    Since 2022-06-09
  • AK RA
    APPROVED
    Since 2021-01-14

Branch Locations

Anacortes, WA • United States

1627 Mill Bay Road, Kodiak, AK 99615 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Edward D. Jones & Co., L.P. Kodiak AK 05/1998 12/2020
Raymond James Financial Services, Inc. Kodiak AK 12/2020 Present
Raymond James Financial Services Advisors, Inc. Kodiak AK 12/2020 Present
Haven Financial Partners Kodiak AR 12/2020 04/2024
  • 05/1998 → 12/2020
    Edward D. Jones & Co., L.P.
    Kodiak, AK
  • 12/2020 → Present
    Raymond James Financial Services, Inc.
    Kodiak, AK
  • 12/2020 → Present
    Kodiak, AK
  • 12/2020 → 04/2024
    Haven Financial Partners
    Kodiak, AR
Previous Registrations
Other Businesses

2912285 (1) Name of Business: Address: 1627 Mill Bay Rd, Kodiak, AK, 99615-6235, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 12/15/2020 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: owner of 1627 Mill Bay Rd. w/ wife, Terrie\nthis is the office property of Haven Financial Services llc\nbusiness property, small office bldg (2) Name of Business: Haven Financial Partners LLC Address: 1627 Mill Bay Rd, Kodiak, AK, 99615-6235, United States Activity Type: Support Company - Owner Position/Title: Officer - President Investment Related: No Start Date: 12/15/2020 Hours per month devoted to this business: 21-40 Hours per month devoted to this business during trading hours: 21-40 Description of duties: Haven Financial is financial services office, my branch office. (3) Name of Business: Mission Lake Tidegate Service District Address: 2113 SPRUCE HAVEN LANE, KODIAK, AK, 99615, United States Activity Type: Board Member, Board Subcommittee Member, Officer, or Director Position/Title: Advisory Board, Director Investment Related: No Start Date: 03/10/2021 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: OVERSEE MISSION LAKE TIDEGATE; WORK W/ KODIAK ISLAND BOROUGH ASSEMBLY TO RECOMMEND BUDGET

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-12-09
S63 Uniform Securities Agent State Law Examination 1997-09-15
  • S66 Uniform Combined State Law Examination
    2006-12-09
  • S63 Uniform Securities Agent State Law Examination
    1997-09-15
Designations
  • Certified Financial Planner

View on SEC IAPD

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