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2100-925 West Georgia Street, Vancouver V6C3L2 • Canada
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-03-15 |
Branch Locations
925 West Georgia St Suite 2100-A, Vancouver V6C 3L2 • Canada
1000 De La Gauchetiere West Suite 2600, Montreal H3B 4W5 • Canada
Dollard-Des-Ormeaux, Quebec • Canada
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James Ltd | Montreal, Quebec | 04/2013 | Present | |
| Raymond James (Usa) Ltd | Montreal, Quebec | 07/2020 | Present |
1) RAYMOND JAMES LTD ("RJL"), A REGISTERED INVESTMENT DEALER WITH CIRO, IS THE CANADIAN AFFILIATE AND PARENT COMPANY OF RAYMOND JAMES (USA) LTD. THE BUSINESS IS INVESTMENT RELATED. Mitchell Rosenberg IS LOCATED AT 1000 DE LA GAUCHETIERE WEST, MONTREAL, QC. H3B 4W5 AND HAS BEEN EMPLOYED SINCE May 2013. HE IS A FULL TIME EMPLOYEE AND HIS TITLE WITH RJL IS "Portfolio Manager". 2) THE MONTREAL CHEST INSTITUTE FOUNDATION IS NOT INVESTMENT-RELATED AND IS LOCATED AT 1001 DECARIE BLVD, MONTREAL, QC, H4A 3J1. THE MCI FOUNDATION PROVIDES FUNDING AND SUPPORTS THE MONTREAL CHEST INSTITUTE (MCI), AND HE IS PART OF THE ADVISORY BOARD AS A VOTING PARTICIPANT AND HELPS RAISE FUNDS. HE IS A VOLUNTEER SINCE MARCH 2013. HE DEVOTES 1 HOUR TO THIS OTHER BUSINESS OUTSIDE OF TRADING AND BUSINESS HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-03-13 |
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