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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
NY RA APPROVED 2021-07-29
  • NY RA
    APPROVED
    Since 2021-07-29

Branch Locations

Garden City, NY • United States

Bethage, NY • 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Woodbury NY 05/2009 11/2016
Wells Fargo Clearing Services, Llc Woodbury NY 11/2016 07/2021
Raymond James Financial Services, Inc Garden City NY 07/2021 Present
Raymond James Financial Services Advisors, Inc Garden City NY 07/2021 Present
Previous Registrations
Other Businesses

(1)Name of Business: Devine Wealth Management Inc Address: 100 Quentin Roosevelt Ste 209, Garden City, NY, 11530, United States Activity Type: Support Company - Owner Position/Title: Independent Contractor Investment Related: No Start Date: 09/09/2021 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: This is a support company for my financial planning practice. Activity to support company owner to make sure registrations report properly (2)Name of Business: Suffolk County Legal Aid Society Address: 320 Carleton Avenue Suite 2500, Central Islip, NY, 11722, United States Activity Type: Non profit Position/Title: Officer - Treasurer, Board Member, Director, Officer - Secretary Investment Related: Yes Start Date: 01/03/2022 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Attend quarterly board meetings, contribute financial expertise to budget and finance committee, contribute expertise with my background in navigating not for profits (3)Name of Business: Sweet Home Assets LLC Address: 7 robin court, bethpage, NY, 11714, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 01/06/2026 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: managing property (4)Name of Business: Ten Ten Associates Address: 100 Quentin Roosevelt, Garden City, NY, 11530-4843, United States Activity Type: Support Company - Non Owner Position/Title: Independent Contractor Investment Related: No Start Date: 07/21/2021 Hours per month devoted to this business: 21-40 Hours per month devoted to this business during trading hours: 21-40 Description of duties: Financial Advisor

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-08-17
S63 Uniform Securities Agent State Law Examination 1998-06-04
  • S65 Uniform Investment Adviser Law Examination
    2000-08-17
  • S63 Uniform Securities Agent State Law Examination
    1998-06-04

View on SEC IAPD

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