Keith Michael Elis

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

• 11/2014 → Present
  Raymond James Financial Services, Inc.
  Branford, CT
• 11/2014 → Present
  Raymond James Financial Services Advisors Inc.
  Branford, CT

Previous Registrations

• 2008-01-01 → 2014-11-17
  Wells Fargo Clearing Services, Llc
  Farmington, CT
• 2006-07-07 → 2008-01-01
  A. G. Edwards & Sons, Inc.
  Farmington, CT
  St. Louis, MO
• 2004-01-23 → 2006-07-12
  Waddell & Reed
  Hartford, CT
  Hartford, CT

Other Businesses

SMITH AND ELIS, LLC:INVESTMENT RELATED:1/2015-PRESENT:BRANFORD,CT:SUPPORT COMPANY/DBA (OWNER):0 HRS/MO:0 HRS DURING TRADING: 50% OWNER/PARTNER OF A SUPPORT COMPANY FOR OUR RAYMOND JAMES BRANCH.

Exams

• S66 Uniform Combined State Law Examination
  2004-01-20