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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:

Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2024-10-25
  • TN RA
    APPROVED
    Since 2024-10-25

Branch Locations

Germantown, TN • United States

1400 N. Jackson Street, Tullahoma, TN 37388 • 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
Truist Investment Services, Inc Memphis TN 05/2010 08/2021
Truist Advisory Services, Inc. Memphis TN 09/2016 08/2021
Suntrust Bank Memphis TN 11/2018 08/2021
Raymond James Financial Services, Inc Tullahoma TN 10/2024 Present
Pinnacle Bank/Pinnacle Financial Partners Tullahoma TN 09/2021 Present
  • 05/2010 → 08/2021
    Truist Investment Services, Inc
    Memphis, TN
  • 09/2016 → 08/2021
    Memphis, TN
  • 11/2018 → 08/2021
    Suntrust Bank
    Memphis, TN
  • 10/2024 → Present
    Raymond James Financial Services, Inc
    Tullahoma, TN
  • 09/2021 → Present
    Pinnacle Bank/Pinnacle Financial Partners
    Tullahoma, TN
Previous Registrations
  • 2016-09-12 → 2021-08-30
    Memphis, TN
    Memphis, TN
  • 2010-11-22 → 2016-12-31
    Truist Investment Services, Inc.
    Memphis, TN
    Memphis, TN
    Memphis, TN
Other Businesses

(1)Name of Business: Address: 2938 Mallard Ln, Germantown, TN, 38138, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 01/01/2010 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: manage the tenants request for maintaining the homes.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2025-01-31
S66 Uniform Combined State Law Examination 2010-11-19
  • S63 Uniform Securities Agent State Law Examination
    2025-01-31
  • S66 Uniform Combined State Law Examination
    2010-11-19
Designations
  • Certified Financial Planner

View on SEC IAPD

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