James Paul Kefalas

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2009 → Present
  Raymond James Financial Services, Inc.
  Brea, CA
• 01/2009 → Present
  Raymond James Financial Services Advisors
  Brea, CA
• 06/2010 → 08/2018
  Non-Variable Insurance
  Brea, CA

Previous Registrations

• 2009-05-02 → 2009-05-11
  Chase Investment Services Corp.
  La Habra, CA
• 2006-12-14 → 2009-05-02
  Wamu Investments, Inc.
  Irvine, CA
  La Habra, CA
  La Habra, CA

Other Businesses

Kefalasfoley Investment Services Inc - Brea, CA Nature of the Business: Support Company/DBA (Owner) Position/Title: Support Company/DBA (Owner) Investment Related:No Start Date: 02/11/2010 Hours per month devoted to this business: 0 Hours per month devoted to this business during trading hours: 0 Description of duties: Owner of Company

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-12-13
• S63 Uniform Securities Agent State Law Examination
  2000-07-17

Other Names

• Jim Paul Kefalas Iii