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Current Employers
Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2015-08-06
DE RA APPROVED 2012-04-03
  • MD RA
    APPROVED
    Since 2015-08-06
  • DE RA
    APPROVED
    Since 2012-04-03

Branch Locations

701 Bethany Loop Suite 1, Bethany Beach, DE 19930 • 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. Bethany Beach DE 04/2012 Present
Raymond James Financial Services Advisors Inc. Bethany Beach DE 04/2012 Present
Solloway Investment Group Llc Bethany Beach DE 07/2012 Present
  • 04/2012 → Present
    Raymond James Financial Services, Inc.
    Bethany Beach, DE
  • 04/2012 → Present
    Bethany Beach, DE
  • 07/2012 → Present
    Solloway Investment Group Llc
    Bethany Beach, DE
Previous Registrations
Other Businesses

(1)Name of Business: Address: 701 Bethany Loop, Suite A, Bethany Beach, DE 19930, Bethany Beach , DE, 19930, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 01/01/2014 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Sublet 300 Square Feet of Office Space to be segregated and buit out as separate. Has separate entrance, no access to my office space (2)Name of Business: Solloway Investment Group LLC Address: 701 Bethany Loop, Bethany Beach, DE, 19930, United States Activity Type: Support Company - Owner Position/Title: Independent Contractor, Associate/Employee Investment Related: No Start Date: 07/27/2012 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Business Support Company (3)Name of Business: Solloway Tax Services LLC Address: 701 Bethany Loop, Suite 1, Bethany Beach, DE, 19930, United States Activity Type: Tax Preparation Position/Title: Owner/Proprietor Investment Related: No Start Date: 02/15/2013 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Tax preparation and tax advisory services

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-06-01
S63 Uniform Securities Agent State Law Examination 2003-01-17
  • S66 Uniform Combined State Law Examination
    2007-06-01
  • S63 Uniform Securities Agent State Law Examination
    2003-01-17
Other Names
  • Rick Solloway
  • Richard Nelson Solloway
  • Richard N Solloway

View on SEC IAPD

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