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Raymond James Financial Services Advisors, Inc CRD 149018
$390B regulatory AUM 5,542 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-01-18 |
| NV | RA | APPROVED | 2013-08-27 |
| CA | RA | APPROVED | 2009-01-02 |
Branch Locations
1125 East 16Th Street Suite 1, Upland, CA 91784 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James Financial Services, Inc. | Upland | CA | 04/2002 | Present |
| Raymond James Financial Services Advisors, Inc | Upland | CA | 01/2009 | Present |
(1)Name of Business: n/a Address: 1125 East 16th Street, Suite 1, Upland, CA, 91784, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 11/07/2013 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: not required at time of submission
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-05-24 |
| S63 | Uniform Securities Agent State Law Examination | 1998-11-05 |
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