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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2016-06-10
CA RA APPROVED 2009-05-04
  • TX RA
    APPROVED
    Since 2016-06-10
  • CA RA
    APPROVED
    Since 2009-05-04

Branch Locations

115 S School St Suite 10, Lodi, CA 95240 • 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 Financial Services Lodi CA 04/2009 Present
Raymond James Financial Services Advisors Inc. Lodi CA 04/2009 Present
Previous Registrations
Other Businesses

(1)Name of Business: Hickingbottom Financial Services, Inc Address: 115 S. School St., Ste. 10, Lodi, CA, 95240-2168, United States Activity Type: Support Company - Non Owner Position/Title: Independent Contractor Investment Related: No Start Date: 08/05/2024 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 41+ Description of duties: financial services

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-06-10
S63 Uniform Securities Agent State Law Examination 2001-12-11
  • S65 Uniform Investment Adviser Law Examination
    2004-06-10
  • S63 Uniform Securities Agent State Law Examination
    2001-12-11

View on SEC IAPD

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