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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
KY RA APPROVED 2022-04-05
  • KY RA
    APPROVED
    Since 2022-04-05

Branch Locations

313 East 10Th Ave, Bowling Green, KY 42101 • 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 Bowling Green KY 08/2021 Present
Integra Fastener Bowling Green KY 05/2018 07/2021
Western Kentucky University Bowling Green KY 08/2017 05/2018
Parent Teacher Store Bowling Green KY 01/2017 08/2017
Greenwood High School Bowling Green KY 08/2016 01/2017
Raymond James Financial Services Bowling Green KY 04/2022 Present
  • 08/2021 → Present
    Raymond James Financial Services
    Bowling Green, KY
  • 05/2018 → 07/2021
    Integra Fastener
    Bowling Green, KY
  • 08/2017 → 05/2018
    Western Kentucky University
    Bowling Green, KY
  • 01/2017 → 08/2017
    Parent Teacher Store
    Bowling Green, KY
  • 08/2016 → 01/2017
    Greenwood High School
    Bowling Green, KY
  • 04/2022 → Present
    Raymond James Financial Services
    Bowling Green, KY
Other Businesses

(1)Name of Business: Ben Smith Life Compass Financial INC Address: 313 East 10th Ave, Bowling Green, KY, 42101, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 08/16/2021 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Financial Advisor.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-03-31
  • S66 Uniform Combined State Law Examination
    2022-03-31

View on SEC IAPD

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