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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
CO RA APPROVED 2021-03-22
TX RA APPROVED 2021-03-19
  • CO RA
    APPROVED
    Since 2021-03-22
  • TX RA
    APPROVED
    Since 2021-03-19

Branch Locations

Lakewood, CO • United States

5619 Dtc Pkwy Ste 800, Greenwood Village, CO 80111 • 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
Ameriprise Financial Services, Inc. Denver CO 09/2012 03/2021
Raymond James Financial Services, Inc Greenwood Village CO 03/2021 Present
Raymond James Financial Services Advisors Greenwood Village CO 03/2021 Present
Crux Wealth Advisors Greenwood Village CO 03/2021 07/2024
Freedom Fairy, Ltd Lakewood CO 04/2021 Present
  • 09/2012 → 03/2021
    Ameriprise Financial Services, Inc.
    Denver, CO
  • 03/2021 → Present
    Raymond James Financial Services, Inc
    Greenwood Village, CO
  • 03/2021 → Present
    Raymond James Financial Services Advisors
    Greenwood Village, CO
  • 03/2021 → 07/2024
    Crux Wealth Advisors
    Greenwood Village, CO
  • 04/2021 → Present
    Freedom Fairy, Ltd
    Lakewood, CO
Previous Registrations
Other Businesses

(1)Name of Business: Address: 5251 DTC Pkwy Ste 1150, Greenwood Village, CO, 80111-3139, United States Activity Type: Non-variable Insurance Position/Title: Broker Investment Related: Yes Start Date: 08/08/2024 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: DI policy (2)Name of Business: Address: 5251 DTC Pkwy Ste 1150, Greenwood Village, CO, 80111-3139, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 06/28/2024 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Life insurance agent (3)Name of Business: Address: 5619 Dtc Pkwy Ste 800, Greenwood Village, CO, 80111-3139, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 01/05/2025 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Life insurance sale (4)Name of Business: Elevation Wealth Partners, LLC Address: 5619 Dtc Pkwy Ste 800, Greenwood Village, CO, 80111-3139, United States Activity Type: Support Company - Owner Position/Title: Associate/Employee Investment Related: No Start Date: 08/01/2024 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Attend annual meetings and other meetings scheduled during the year. When needed cast vote at meetings as a member of the LLC. Provide input and feedback relating to short term operations and long term health of the LLC. \n\n (5)Name of Business: Freedom Fairy, LTD Address: 14671 W Bates Pl, Lakewood, CO, 80228, United States Activity Type: Support Company - Owner Position/Title: Independent Contractor Investment Related: No Start Date: 04/05/2021 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Business S Corporation for Raymond James compensation

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1999-10-12
S65 Uniform Investment Adviser Law Examination 1999-07-02
  • S63 Uniform Securities Agent State Law Examination
    1999-10-12
  • S65 Uniform Investment Adviser Law Examination
    1999-07-02
Other Names
  • Nicole May
  • Nicole May
  • Nicole Leigh May
  • Nicole Leigh May

View on SEC IAPD

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