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Raymond James Financial Services Advisors, Inc CRD 149018
$390B regulatory AUM 5,542 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 2025-04-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James & Associates, Inc. | Saint Petersburg | FL | 03/2015 | 02/2020 |
| Raymond James Financial Services, Inc. | Harrisonburg | VA | 02/2020 | Present |
| Raymond James Financial Services Advisors | Harrisonburg | VA | 03/2020 | Present |
(1) Name of Business: Kathy Moran Financial Planning and Investments, LLC Address: 4149 Quarles Ct, Rockingham, VA, 22801-3576, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 04/01/2025 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: I am employed as a financial advisor by this entity, which owns the financial planning practice affiliated with RJFS. This is not the name/entity that is held out to the public. (2) Name of Business: Kathy Moran Wealth Group Address: 4149 Quarles Ct, Rockingham, VA, 22801-3576, United States Activity Type: Support Company - Non Owner Position/Title: Other Investment Related: No Start Date: 04/01/2025 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: I am a financial advisor affiliated with Kathy Moran Wealth Group. I am not employed by this entity as it is our DBA that is held out to the public for our services in conjunction with RJFS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-09-11 |
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