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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
UT RA APPROVED 2020-07-30
TX RA APPROVED 2020-07-29
  • UT RA
    APPROVED
    Since 2020-07-30
  • TX RA
    APPROVED
    Since 2020-07-29

Branch Locations

1371 E 2100 S Ste 215, Salt Lake City, UT 84105 • 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
Wells Fargo Advisors Financial Network Llc Salt Lake City UT 02/2011 07/2020
Raymond James Financial Services, Inc. Salt Lake City UT 07/2020 Present
Raymond James Financial Services Advisors, Inc. Salt Lake City UT 07/2020 Present
Previous Registrations
  • 2011-02-10 → 2020-07-30
    Salt Lake City, UT
  • 2009-06-01 → 2011-02-17
    Salt Lake City, UT
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Salt Lake City, UT
  • 2000-08-09 → 2007-04-02
    Morgan Stanley Dw Inc.
    Salt Lake City, UT
    Salt Lk City, UT
Other Businesses

(1) Name of Business: RF Wealth Management Address: 1371 East 2100 South, Salt Lake City, UT, 84105, United States Activity Type: Support Company - Owner Position/Title: Officer - President Investment Related: No Start Date: 02/01/2011 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: RF Wealth Management is my S-Corp for personal expenses related to my RJ practice. No employees other than myself. No marketing of the entity. All investment related business is run through our RJ practice and this entity is for my business expenses outside of shared office expenses we run through WHF LLC. I pay myself through this entity after my commissions are credited. (2) Name of Business: UINTA WEALTH MANAGEMENT Address: 1371 E 2100 S Ste 215, Salt Lake City, UT, 84105, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 07/29/2020 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 2-10 Description of duties: MANAGEMENT OF OFFICE EXPENSES FOR PRACTICE. FINANCIAL ADVISOR (3) Name of Business: WHF LLC Address: 1371 East 2100 South, Salt Lake City, UT, 84105, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 02/01/2011 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I am 50/50 partner with my associate Chris Williams. This LLC exists to run our operating expenses and payroll for our RJ Practice. My responsibilities are paying bills, health care options, 401k operations, staff payroll, etc.\nWe keep the operating balance at a minimum as we only use the checking account for monthly expenses. No trading in the account.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-04-03
  • S66 Uniform Combined State Law Examination
    2000-04-03
Other Names
  • Robb Farr
  • Robb Kano Farr
  • Robert Kano Farr

View on SEC IAPD

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