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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
OH RA APPROVED 2010-01-08
  • OH RA
    APPROVED
    Since 2010-01-08

Branch Locations

387 Medina Road Suite 500, Medina, OH 44256 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Rex Gasser Electric, Inc. Sterling OH 03/1995 Present
Raymond James Financial Services,Inc. Medina OH 10/2004 Present
Raymond James Financial Services Advisors, Inc Medina OH 01/2009 Present
Other Businesses

(1)Name of Business: Rex Gasser Electric, Inc. Address: 13900 Shorle Rd., Sterling, OH, 44276, United States Activity Type: Other Position/Title: Officer - Treasurer Investment Related: No Start Date: 03/10/2005 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Pay all bills, payroll and complete quarterly tax forms.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-09-24
  • S63 Uniform Securities Agent State Law Examination
    1998-09-24
Designations
  • Chartered Financial Consultant
Other Names
  • Sandra Lee Frantz
  • Sandra Lee Burge

View on SEC IAPD

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