Michael Patrick Estes

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2015 → 08/2018
  Investment Professionals, Inc.
  San Antonio, TX
• 08/2015 → 01/2022
  Kentucky Bank
  Richmond, KY
• 08/2018 → 01/2022
  Ameriprise Financial Services, Inc.
  Richmond, KY
• 01/2022 → Present
  Raymond James Financial Services, Inc
  Richmond, KY
• 01/2022 → Present
  Raymond James Financial Services Advisors, Inc
  Richmond, KY
• 01/2022 → Present
  Stock Yards Bank And Trust
  Richmond, KY

Previous Registrations

• 2018-06-22 → 2022-01-14
  Ameriprise Financial Services, Llc
  Richmond, KY
• 2015-08-05 → 2018-09-24
  Investment Professionals, Inc.
  Richmond, KY
  San Antonio, TX
  Danville, KY
• 2014-02-07 → 2015-08-05
  Lpl Financial Llc
  Richmond, KY
  San Diego, CA
  Richmond, KY
• 2010-03-29 → 2014-02-10
  U.S. Bancorp Investments, Inc.
  Danville, KY
  Springfield, KY
  Walton, KY
  Falmouth, KY
  Richmond, KY
  Richmond, KY
  Berea, KY
  Irvine, KY
  Richmond, KY
• 2009-11-13 → 2010-03-24
  Pnc Wealth Management Llc
  Middlesboro, KY
  Danville, KY
  Richmond, KY
  London, KY
  Richmond, KY
  Bardstown, KY
  Barbourville, KY
  Manchester, KY
  Danville, KY
  Richmond, KY
  Corbin, KY
  London, KY
• 2005-09-09 → 2009-11-13
  Natcity Investments, Inc.
  Danville, KY
  Richmond, KY
  Richmond, KY
  London, KY
  London, KY
  Corbin, KY
  Middlesboro, KY
  Louisville, KY
  Manchester, KY
  Barbourville, KY
  Danville, KY
  Bardstown, KY
  Richmond, KY
• 2005-07-06 → 2005-09-15
  Chase Investment Services Corp.
  Lexington, KY
• 2005-05-24 → 2005-07-06
  Banc One Securities Corporation
  Lexington, KY

Other Businesses

(1)Name of Business: Stock Yards Financial Services Address: 660 University Shopping Center, Richmond, KY, 40475, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 01/11/2022 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Provide advice and investment products and services to bank customers (2)Name of Business: Stock Yards Investment Services Address: 660 University Shopping Center, Richmond, KY, 40475, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 01/11/2022 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Provide advice and investment products to bank customers

Exams

• S66 Uniform Combined State Law Examination
  2005-05-23
• S63 Uniform Securities Agent State Law Examination
  2003-11-04

Other Names

• Michael Patrick Estes