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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
TX RA APPROVED 2016-10-17
CA RA APPROVED 2016-07-25
  • TX RA
    APPROVED
    Since 2016-10-17
  • CA RA
    APPROVED
    Since 2016-07-25

Branch Locations

Santa Cruz, CA • United States

237 W Main St, Los Gatos, CA 95030 • 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
Raymond James Financial Services, Inc. Los Gatos CA 07/2016 Present
Raymond James Financial Services Advisors Inc. Los Gatos CA 07/2016 Present
Previous Registrations
  • 2009-06-01 → 2016-08-11
    San Jose, CA
    Santa Cruz, CA
    Santa Cruz, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    San Jose, CA
  • 1998-08-24 → 2007-04-02
    Morgan Stanley Dw Inc.
    San Jose, CA
    San Jose, CA
Other Businesses

(1)Name of Business: Adint Associates LLC Address: 229 W Main Street, Los Gatos, CA, 95030, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 06/08/2017 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: This is the RJ office we work out of. Victor Adint and I purchased this together. Victor went through the process prior to me joining the firm and allowed me to become 50% partner in the LLC which is buying the office space we work out of. (2)Name of Business: Adint, Ramaekers and Associates Address: 229 W Main St, Los Gatos, CA, 95030-6818, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 09/29/2023 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 0-1 Description of duties: President, this is merely set up to market ourselves (81I) as a team (3)Name of Business: ramaekers investments, inc Address: 229 W Main Street, Los Gatos, CA, 95030, United States Activity Type: Support Company - Owner Position/Title: Officer - CEO Investment Related: No Start Date: 06/30/2020 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: This is an S-corp set up to facilitate a defined benefit through an account held at Raymond James. In addition, it helps in offsetting the SALT deductions in CA as the Governor created a bypass using an S-Corp

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-03-30
S65 Uniform Investment Adviser Law Examination 1998-03-23
  • S63 Uniform Securities Agent State Law Examination
    1998-03-30
  • S65 Uniform Investment Adviser Law Examination
    1998-03-23
Designations
  • Certified Financial Planner
Other Names
  • Dieter G Diederik
  • Dieter G Ramaekers

View on SEC IAPD

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