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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
VA RA APPROVED 2025-04-02
  • VA RA
    APPROVED
    Since 2025-04-02

Branch Locations

4149 Quarles Court, Harrisonburg, VA 22801 • 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
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
  • 03/2015 → 02/2020
    Saint Petersburg, FL
  • 02/2020 → Present
    Raymond James Financial Services, Inc.
    Harrisonburg, VA
  • 03/2020 → Present
    Raymond James Financial Services Advisors
    Harrisonburg, VA
Previous Registrations
Other Businesses

(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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-09-11
  • S66 Uniform Combined State Law Examination
    2007-09-11

View on SEC IAPD

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