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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-03-23 |
| MI | RA | APPROVED | 2014-09-10 |
Branch Locations
2750 Old Centre Road Suite 120, Portage, MI 49024 • United States
Vicksburg, MI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James Financial Services, Inc. | Portage | MI | 09/2003 | Present |
| Raymond James Financial Services Advisors Inc. | Portage | MI | 09/2014 | Present |
| Loc Financial Planning Group, Inc. | Portage | MI | 01/2023 | Present |
| Nichols Financial Advisors | Portage | MI | 07/2007 | 01/2023 |
(1) Name of Business: Loc Financial Planning Group, Inc. Address: 2750 Old Centre Rd Ste 120, Portage, MI, 49024-4833, United States Activity Type: Support Company - Owner Position/Title: Officer - President Investment Related: No Start Date: 01/01/2023 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 41+ Description of duties: Loc Financial Planning Group, Inc is my S Corp that I use to provide service to my book of business. It is my DBA that is used for payroll of my employees that are all associates of Raymond James. I also pay rent, utilities, office supplies, etc using this name.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-09-05 |
| S63 | Uniform Securities Agent State Law Examination | 2004-02-23 |
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