Best Investors Account Sign in
Current Employers
Raymond James (Usa) Ltd.

2100-925 West Georgia Street, Vancouver V6C3L2 • Canada

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2012-06-21
  • CA RA
    APPROVED
    Since 2012-06-21

Branch Locations

925 West Georgia St Suite 2100-A, Vancouver V6C 3L2 • Canada

#1000 - 1175 Douglas Street, Victoria, Bc V8W 2E1 • Canada

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 Ltd. Victoria 03/2006 Present
Raymond James (Usa) Ltd. Vancouver, B.C. 02/2012 Present
Previous Registrations
Other Businesses

(1) RAYMOND JAMES LTD ("RJL"), A REGISTERED INVESTMENT DEALER WITH IIROC, IS THE CANADIAN AFFILIATE AND PARENT COMPANY OF RAYMOND JAMES (USA) LTD. THE BUSINESS IS INVESTMENT RELATED. APRIL DOREY IS LOCATED AT 1000 - 1175 DOUGLAS ST, VICTORIA, BC CANDA V8W 2E1AND HAS BEEN EMPLOYED SINCE MARCH 6, 2006.SHE IS A FULL TIME EMPLOYEE AND HER TITLE WITH RJL IS "FINANCIAL ADVISOR". SHE DEVOTES 200 HOURS A MONTH TO THIS BUSINESS DURING BUSINESS AND TRADING HOURS. HER JOB DUTIES INCLUDE SALES. (2) RAYMOND JAMES FINANCIAL PLANNING LTD ("RJFP") IS THE INSURANCE AND ESTATE PLANNING DIVISION OF RAYMOND JAMES LTD. RJFP DEALS WITH INSURANCE SOLUTIONS, WEALTH MANAGEMENT, TAX AND ESTATE PLANNING AND BUSINESS CONTINUITY. APRIL DOREY IS LOCATED AT 1000 - 1175 DOUGLAS ST, VICTORIA, BC CANDA V8W 2E1 AND HAS BEEN LICENSED WITH RJFP SINCE JULY 31, 2009. SHE IS A FULL-TIME EMPLOYEE. SHE DEVOTES 1 HOUR A MONTH TO THIS BUSINESS. HER JOB DUTIES INCLUDE LIFE INSURANCE SALES &/OR FINANCIAL PLANNING. (3) Salvation Army (of BC) in Victoria BC - Advisory Board Position volunteer includes listening to strategy every 2 months, giving ideas on what other services to consider offering in community. START DATE was January 10th, 2018. I DEVOTE LESS THAN ONE (1) HOUR PER MONTH NOT DURING TRADING HOURS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-11-08
S63 Uniform Securities Agent State Law Examination 2008-09-12
  • S65 Uniform Investment Adviser Law Examination
    2011-11-08
  • S63 Uniform Securities Agent State Law Examination
    2008-09-12
Other Names
  • April Mary Dorey Hartwig

View on SEC IAPD

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor