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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2018-01-17 |
Branch Locations
360A West Portal Avenue, San Francisco, CA 94127 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab & Co., Inc | Sunnyvale | CA | 09/2007 | 08/2017 |
| Charles Schwab Bank | Sunnyvale | CA | 10/2007 | 08/2017 |
| Raymond James Financial Services,Inc | San Francisco | CA | 01/2018 | Present |
| Unemployed | San Francisco | CA | 08/2017 | 01/2018 |
| Raymond James Financial Services Advisors Inc. | San Francisco | CA | 01/2018 | Present |
(1) Name of Business: West Portal Financial Group Address: 360A West Portal Avenue, San Francisco, CA, 94127, United States Activity Type: Support Company - Non Owner Position/Title: Independent Contractor Investment Related: No Start Date: 06/01/2018 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Operating entity for RJFS branch office.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-03-16 |
| S65 | Uniform Investment Adviser Law Examination | 1998-10-28 |
| S63 | Uniform Securities Agent State Law Examination | 1998-04-17 |
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