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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
TX RA APPROVED_RES 2018-01-04
AZ RA APPROVED 2017-03-28
  • TX RA
    APPROVED_RES
    Since 2018-01-04
  • AZ RA
    APPROVED
    Since 2017-03-28

Branch Locations

14269 N 87Th St Ste 105, Scottsdale, AZ 85260 • 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 Scottsdale AZ 10/2013 03/2017
Raymond James Financial Services, Inc. Scottsdale AZ 03/2017 Present
Raymond James Financial Services Advisors, Inc. Scottsdale AL 03/2017 Present
Previous Registrations
Other Businesses

(1)Name of Business: ELOC Investments LLC Address: 14269 N 87th St Ste 105, Scottsdale, AZ, 85260, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 04/10/2017 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I am 100% owner and sole employee (2)Name of Business: NextGen Advisors LLC Address: 14269 N 87th St Ste 105, Scottsdale, AZ, 85260, United States Activity Type: Support Company - Non Owner Position/Title: Independent Contractor Investment Related: No Start Date: 03/31/2017 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Advisor

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-05-04
  • S66 Uniform Combined State Law Examination
    2015-05-04

View on SEC IAPD

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