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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
NC RA APPROVED 2018-02-23
  • NC RA
    APPROVED
    Since 2018-02-23

Branch Locations

114 Commerce Center Loop Suite E, Mooresville, NC 28117 • 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 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
  • 04/2016 → 07/2017
    Raymond James Financial Services,Inc
    Mooresville, NC
  • 07/2015 → 05/2019
    Epic Chop House
    Mooresville, NC
  • 07/2017 → Present
    Raymond James Financial Services,Inc
    Mooresville, NC
  • 02/2018 → Present
    Mooresville, NC
  • 08/2018 → Present
    Lkn Dog Sitting
    Sherrills Ford, NC
  • 01/2019 → Present
    Signature Wealth Group
    Mooresville, NC
Other Businesses

(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

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-02-12
  • S66 Uniform Combined State Law Examination
    2018-02-12

View on SEC IAPD

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