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Current Employers
Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2017-09-29
  • IA RA
    APPROVED
    Since 2017-09-29

Branch Locations

673 Westbury Drive Suite 101, Iowa City, IA 52245 • 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
Securian Financial Advisors, Inc. Hiawatha IA 06/2016 08/2017
Raymond James Financial Services, Inc. Iowa City IA 09/2017 Present
Raymond James Financial Services Advisors Inc. Iowa City IA 09/2017 Present
Previous Registrations
  • 2016-10-20 → 2017-08-22
    Securian Financial Services, Inc.
    Cedar Rapids, IA
Other Businesses

(1)Name of Business: James Investment Group, Inc. Address: 673 Westbury Dr Ste 101, Iowa City, IA, 52245, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 09/11/2017 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41-80 Description of duties: Registered Service Associate

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-09-16
  • S66 Uniform Combined State Law Examination
    2016-09-16
Other Names
  • Riley Elizabeth Gardam
  • Riley Elizabeth Larson

View on SEC IAPD

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