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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2009-06-01 |
Branch Locations
130 South Main Street, Fond Du Lac, WI 54936-0988 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James Financial Services, Inc | Fond Du Lac | WI | 05/2001 | Present |
| Raymond James Financial Services Advisors, Inc | Fond Du Lac | WI | 01/2009 | Present |
| National Exchange Bank And Trust | Fond Du Lac | WI | 05/2001 | Present |
(1)Name of Business: National Exchange Bank & Trust Address: 130 S Main St, Fond Du Lac, WI, 54935, United States Activity Type: Bank or Credit Union Associate Position/Title: Associate/Employee Investment Related: Yes Start Date: 05/19/2001 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: work through RJ to provide investment services to clients (2)Name of Business: National Exchange Investment Management Address: 130 S Main St, Fond Du Lac, WI, 54935, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 05/21/2001 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: financial advisor (3)Name of Business: Rosendale-Brandon School Board Address: Rosendale-Brandon School District, 301 W. Division St., Rosendale, WI, 54974, United States Activity Type: Board Member, Board Subcommittee Member, Officer, or Director Position/Title: Officer - President Investment Related: No Start Date: 04/26/2010 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: helping the administration effectively run the school district
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2000-03-22 |
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