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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
OH RA APPROVED 2019-03-21
  • OH RA
    APPROVED
    Since 2019-03-21

Branch Locations

191 American Blvd. Suite 205, Westlake, OH 44145 • 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 Advisors, Inc. Westlake OH 03/2019 Present
Captech Ventures Richmond VA 01/2018 11/2018
National Interstate Insurance Richfield OH 03/2014 12/2017
Raymond James Financial Services, Inc. Strongsville OH 11/2018 Present
E&M Consulting Westlake OH 05/2019 Present
  • 03/2019 → Present
    Westlake, OH
  • 01/2018 → 11/2018
    Captech Ventures
    Richmond, VA
  • 03/2014 → 12/2017
    National Interstate Insurance
    Richfield, OH
  • 11/2018 → Present
    Raymond James Financial Services, Inc.
    Strongsville, OH
  • 05/2019 → Present
    E&M Consulting
    Westlake, OH
Other Businesses

(1) Name of Business: CKE Financial Services Address: 191 American Blvd. Suite 205, Westlake, OH, 44145, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 10/22/2019 Hours per month devoted to this business: 21-40 Hours per month devoted to this business during trading hours: 21-40 Description of duties: Financial Advisor (2) Name of Business: E&M Consulting Address: 191 American Boulevard Suite 205, Westlake, OH, 44145, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 05/29/2019 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Financial Advisor role including planning, prospecting, and relationship management. (3) Name of Business: Strategic Retirement Solutions Address: 191 American Boulevard Suite 205, Westlake, OH, 44145, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 05/29/2019 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Financial Advisor role including planning, prospecting, and relationship management

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2024-06-01
S65 Uniform Investment Adviser Law Examination 2019-03-01
  • S63 Uniform Securities Agent State Law Examination
    2024-06-01
  • S65 Uniform Investment Adviser Law Examination
    2019-03-01

View on SEC IAPD

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