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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 |
|---|---|---|---|
| NC | RA | APPROVED | 2018-02-23 |
Branch Locations
114 Commerce Center Loop Suite E, Mooresville, NC 28117 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James Financial Services,Inc | Mooresville | NC | 04/2016 | 07/2017 |
| Epic Chop House | Mooresville | NC | 07/2015 | 05/2019 |
| Raymond James Financial Services,Inc | Mooresville | NC | 07/2017 | Present |
| Raymond James Financial Services Advisors Inc. | Mooresville | NC | 02/2018 | Present |
| Lkn Dog Sitting | Sherrills Ford | NC | 08/2018 | Present |
| Signature Wealth Group | Mooresville | NC | 01/2019 | Present |
(1)Name of Business: LKN Dog Sitting Address: 3742 Slanting Bridge Rd, Sherrills Ford, NC, 28673, United States Activity Type: Business Owner Position/Title: Other Investment Related: No Start Date: 08/01/2018 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Dog sitting (2)Name of Business: Signature Wealth Group Address: 107 N Main St, Mooresville, NC, 28115, United States Activity Type: Support Company - Non Owner Position/Title: Independent Contractor Investment Related: No Start Date: 01/07/2019 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Servicing client accounts, generating new business
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-02-12 |
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