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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-09-09
PA RA APPROVED 2020-01-24
  • TX RA
    APPROVED
    Since 2021-09-09
  • PA RA
    APPROVED
    Since 2020-01-24

Branch Locations

3018 Pleasant Valley Blvd, Altoona, PA 16602 • 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
Wells Fargo Clearings Services/Advisors Llc Altoona PA 03/2012 01/2020
Raymond James Financial Services, Inc. Altoona PA 01/2020 Present
Raymond James Financial Services Advisors, Inc. Altoona PA 01/2020 Present
Fulton Bank Altoona PA 03/2020 Present
  • 03/2012 → 01/2020
    Wells Fargo Clearings Services/Advisors Llc
    Altoona, PA
  • 01/2020 → Present
    Raymond James Financial Services, Inc.
    Altoona, PA
  • 01/2020 → Present
    Altoona, PA
  • 03/2020 → Present
    Fulton Bank
    Altoona, PA
Previous Registrations
Other Businesses

(3)Name of Business: Fulton Financial Advisors Address: 3018 Pleasant Valley Blvd., Altoona, PA, 16602, Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 03/04/2020 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Client services and Administration responsibilities.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1997-08-13
  • S63 Uniform Securities Agent State Law Examination
    1997-08-13

View on SEC IAPD

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