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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
TX RA APPROVED 2022-08-30
AZ RA APPROVED 2021-11-02
  • TX RA
    APPROVED
    Since 2022-08-30
  • AZ RA
    APPROVED
    Since 2021-11-02

Branch Locations

11811 N. Tatum Blvd. Suite 2320, Phoenix, AZ 85028 • 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. Phoenix AZ 06/2021 Present
U.S. Dept. Of Agriculture Washington DC 02/2020 04/2021
University Of Maryland College Park MD 08/2019 12/2019
Howard Community College Columbia MD 08/2018 08/2019
Ymca Ellicott City MD 05/2018 08/2018
Howard Community College Columbia MD 01/2018 08/2019
U.S. Marine Corps. Camp Lejeune NC 02/2013 01/2018
Raymond James Financial Services Advisors, Inc. Phoenix AZ 11/2021 Present
  • 06/2021 → Present
    Raymond James Financial Services, Inc.
    Phoenix, AZ
  • 02/2020 → 04/2021
    U.S. Dept. Of Agriculture
    Washington, DC
  • 08/2019 → 12/2019
    University Of Maryland
    College Park, MD
  • 08/2018 → 08/2019
    Howard Community College
    Columbia, MD
  • 05/2018 → 08/2018
    Ymca
    Ellicott City, MD
  • 01/2018 → 08/2019
    Howard Community College
    Columbia, MD
  • 02/2013 → 01/2018
    U.S. Marine Corps.
    Camp Lejeune, NC
  • 11/2021 → Present
    Phoenix, AZ
Other Businesses

(1)Name of Business: Anasazi Investment Group Address: 11811 N. Tatum Blvd., Phoenix, AZ, 85028, United States Activity Type: Support Company - Non Owner Position/Title: Other Investment Related: No Start Date: 11/15/2021 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Anasazi Investment Group is used to split office expenses. (2)Name of Business: Young Money Management Address: 11811 N. Tatum Blvd., Phoenix, AZ, 85028, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 06/01/2021 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Young Money Management is a corporation used pay expenses.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-10-30
  • S66 Uniform Combined State Law Examination
    2021-10-30

View on SEC IAPD

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