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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_RES 2022-12-13
PA RA APPROVED 2022-12-09
  • TX RA
    APPROVED_RES
    Since 2022-12-13
  • PA RA
    APPROVED
    Since 2022-12-09

Branch Locations

835 Springdale Drive Suite 204, Exton, PA 19341 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Warren Financial Service Exton PA 03/2008 11/2022
Raymond James Financial Services, Inc. Exton PA 12/2022 Present
Raymond James Financial Services Advisors, Inc. Exton PA 12/2022 Present
Previous Registrations
Other Businesses

(1)Name of Business: Address: 835 Springdale Dr Ste 204, Exton, PA, 19341-2833, United States Activity Type: Tax Preparation Position/Title: Other Investment Related: No Start Date: 03/01/2008 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Assist clients inputting their income and deduction data into a tax preparation software. (2)Name of Business: Brandywine Valley Financial Services, LLC Address: 835 Springdale Dr Ste 204, Exton, PA, 19341-2833, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 12/09/2022 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Financial advisor and wealth manager responsible for working with clients to develop financial plans to set goals, develop investment strategy and implement the strategy through investment selection. (3)Name of Business: LLC will be formed contingent on approval Address: 512 Anthem Ln, Coatesville, PA, 19320, United States Activity Type: Rental Real Estate Position/Title: Investment Related: Yes Start Date: 01/01/2026 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties:

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2022-11-28
S65 Uniform Investment Adviser Law Examination 2008-06-18
  • S63 Uniform Securities Agent State Law Examination
    2022-11-28
  • S65 Uniform Investment Adviser Law Examination
    2008-06-18

View on SEC IAPD

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