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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_RES 2019-10-01
FL RA APPROVED 2010-01-04
  • TX RA
    APPROVED_RES
    Since 2019-10-01
  • FL RA
    APPROVED
    Since 2010-01-04

Branch Locations

100 East Stuart Avenue, Lake Wales, FL 33853 • 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. Lake Wales FL 09/2003 Present
Raymond James Financial Services Advisors, Inc. Lake Wales FL 01/2010 Present
Pat Cain Wealth Solutions Lake Wales FL 10/2010 Present
Citrus View Financial Lake Wales FL 10/2019 Present
  • 09/2003 → Present
    Raymond James Financial Services, Inc.
    Lake Wales, FL
  • 01/2010 → Present
    Lake Wales, FL
  • 10/2010 → Present
    Pat Cain Wealth Solutions
    Lake Wales, FL
  • 10/2019 → Present
    Citrus View Financial
    Lake Wales, FL
Other Businesses

(1)Name of Business: Citrus View Financial Address: 100 E Stuart Ave, Lake Wales, FL, 33853, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 10/01/2019 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Owner, support company (2)Name of Business: Pat Cain Wealth Solutions Address: 100 E Stuart Ave, Lake Wales, FL, 33853, United States Activity Type: Support Company - Non Owner Position/Title: Other Investment Related: Yes Start Date: 09/25/2014 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: associate of branch support company (3)Name of Business: Pat Cain Wealth Solutions Address: 100 E Stuart Ave, Lake Wales, FL, 33853-4128, United States Activity Type: Support Company - Owner Position/Title: Officer - Vice President, Officer - President Investment Related: No Start Date: 10/01/2019 Hours per month devoted to this business: 21-40 Hours per month devoted to this business during trading hours: 21-40 Description of duties: This is a DBA name

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2012-02-17
S65 Uniform Investment Adviser Law Examination 2009-11-27
  • S63 Uniform Securities Agent State Law Examination
    2012-02-17
  • S65 Uniform Investment Adviser Law Examination
    2009-11-27
Designations
  • Certified Financial Planner

View on SEC IAPD

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