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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-01-30
UT RA APPROVED 2019-04-08
  • TX RA
    APPROVED_RES
    Since 2020-01-30
  • UT RA
    APPROVED
    Since 2019-04-08

Branch Locations

13413 S. Hamilton View Rd, Riverton, UT 84065 • United States

366 E. State Street, Pleasant Grove, UT 84062 • United States

175 East 200 South, Orem, UT 84058 • United States

95 E 500 S, Bountiful, UT 84010 • United States

1227 E 100 S, St George, UT 84790 • United States

2655 W 4700 S, Salt Lake City, UT 84129 • United States

645 S 1750 W, Springville, UT 84663 • United States

10404 S. Redwood Rd , South Jordan, UT 84095 • 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
Scottrade Salt Lake City UT 01/2014 03/2018
Unemployed South Jordan UT 03/2018 07/2018
Raymond James Financial Services, Inc South Jordan UT 04/2019 Present
Security Service Federal Credit Union South Jordan UT 04/2018 Present
Amazon South Jordan UT 09/2022 12/2024
Raymond James Financial Services Advisors, Inc. South Jordan UT 04/2019 Present
  • 01/2014 → 03/2018
    Scottrade
    Salt Lake City, UT
  • 03/2018 → 07/2018
    Unemployed
    South Jordan, UT
  • 04/2019 → Present
    Raymond James Financial Services, Inc
    South Jordan, UT
  • 04/2018 → Present
    Security Service Federal Credit Union
    South Jordan, UT
  • 09/2022 → 12/2024
    Amazon
    South Jordan, UT
  • 04/2019 → Present
    South Jordan, UT
Previous Registrations
  • 2017-01-19 → 2018-03-08
    Scottrade Investment Management
    Saint Louis, MO
  • 2011-09-06 → 2014-01-17
    Td Ameritrade, Inc.
    Draper, UT
  • 2011-09-06 → 2014-01-17
    Td Ameritrade Investment Management, Llc
    Draper, UT
  • 2009-02-17 → 2011-09-06
    Harrisdirect Llc
    Arlington, VA
Other Businesses

(1)Name of Business: Security Service Investment Group Address: 10404 S Redwood Rd, South Jordan, UT, 84095, United States Activity Type: Support Company - Non Owner Position/Title: Other Investment Related: No Start Date: 04/05/2019 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Financial Advisor in Credit Union

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-02-12
S63 Uniform Securities Agent State Law Examination 2006-11-11
  • S66 Uniform Combined State Law Examination
    2009-02-12
  • S63 Uniform Securities Agent State Law Examination
    2006-11-11
Other Names
  • Randy A Finneman

View on SEC IAPD

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