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12740 N River Road, Mequon, WI 53092 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2022-09-07 |
Branch Locations
880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-08-18 |
| WI | RA | APPROVED | 2015-02-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James Financial Services | Milwaukee | WI | 02/2015 | Present |
| Raymond James Financial Services Advisors Inc. | Mequon | WI | 02/2015 | Present |
| Gentian Financial, Inc. | Mequon | WI | 02/2015 | Present |
(1)Name of Business: Gentian Financial, Inc. Address: 12740 N River Rd, Mequon, WI, 53092, United States Activity Type: Independent RIA Position/Title: Associate/Employee Investment Related: Yes Start Date: 02/02/2015 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Assist in managing the day to day operations of the firm, lead firm security research and assist in managing client relationships. (2)Name of Business: Gentian Financial, Inc. Address: 12740 N River Rd, Mequon, WI, 53092, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 08/01/2015 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Day to day operations of the business. Managing client relationships along side the firm's owner.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-02-03 |
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