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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
IL RA APPROVED 2017-01-17
  • IL RA
    APPROVED
    Since 2017-01-17

Branch Locations

1317 Charleston Avenue, Mattoon, IL 61938 • 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, Inc. Mattoon IL 08/2016 Present
Raymond James Financial Services Advisors Inc. Mattoon IL 01/2017 Present
First Mid Bank & Trust Mattoon IL 08/2015 Present
Other Businesses

(1) Name of Business: First Mid Wealth Management Address: 1317 Charleston Ave, Mattoon, IL, 61938, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 04/12/2019 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 21-40 Description of duties: Operations Manager for the brokerage department of First Mid Wealth Management and assist advisors as a Sales Assistant

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-12-17
  • S66 Uniform Combined State Law Examination
    2016-12-17
Other Names
  • Kendra Ann Kauffman
  • Kendra Ann Kauffman

View on SEC IAPD

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