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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 2021-09-22
CO RA APPROVED 2009-08-03
  • TX RA
    APPROVED_RES
    Since 2021-09-22
  • CO RA
    APPROVED
    Since 2009-08-03

Branch Locations

1801 Wewatta St 11Th Floor, Denver, CO 80202 • 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 Greenwood Village CO 07/2009 Present
Raymond James Financial Services Advisors, Inc Greenwood Village CO 08/2009 Present
Previous Registrations
  • 2009-06-01 → 2009-08-04
    Greenwood Village, CO
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Centennial, CO
  • 2007-01-23 → 2007-04-02
    Morgan Stanley Dw Inc.
    Centennial, CO
  • 2006-08-30 → 2007-01-10
    New York, NY
Other Businesses

(1)Name of Business: The Fishel Group, Inc. Address: 1801 Wewatta St, 11th Floor, Denver, CO, 80202, United States Activity Type: Support Company - Owner Position/Title: Officer - President Investment Related: No Start Date: 10/01/2021 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Owner, financial services and portfolio management.1)Name of Business: IGBM, LLC Address: 3945 W 118th Place, Westminister, CO, 80031, United States Activity Type: Business Owner Position/Title: Partner Investment Related: Yes Start Date: 12/01/2017 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Silent partner (2)Name of Business: The Fishel Group, Inc. Address: 1801 Wewatta St, 11th Floor, Denver, CO, 80202, United States Activity Type: Support Company - Owner Position/Title: Officer - President Investment Related: No Start Date: 10/01/2021 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Owner, financial services and portfolio management.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-08-29
  • S66 Uniform Combined State Law Examination
    2006-08-29

View on SEC IAPD

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