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Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 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 & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-12
TX RA APPROVED 2021-07-12
PA RA APPROVED 2019-08-26
  • NY RA
    APPROVED
    Since 2021-08-12
  • TX RA
    APPROVED
    Since 2021-07-12
  • PA RA
    APPROVED
    Since 2019-08-26

Branch Locations

Brooklyn, NY • United States

320 Park Ave., Fl 14, New York, NY 10022 • 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
Goldman Sachs & Co. Llc Chicago IL 07/2018 02/2019
Self-Employed Twinsburg OH 05/2018 07/2018
Alex Brown Of Raymond James Philadelphia PA 01/2017 04/2017
Hillsdale College Hillsdale MI 10/2015 12/2016
Hillsdale College Hillsdale MI 08/2014 05/2018
Raymond James & Associates, Inc Philadelphia PA 02/2019 08/2021
Raymond James & Associates, Inc. New York NY 08/2021 Present
  • 07/2018 → 02/2019
    Goldman Sachs & Co. Llc
    Chicago, IL
  • 05/2018 → 07/2018
    Self-Employed
    Twinsburg, OH
  • 01/2017 → 04/2017
    Alex Brown Of Raymond James
    Philadelphia, PA
  • 10/2015 → 12/2016
    Hillsdale College
    Hillsdale, MI
  • 08/2014 → 05/2018
    Hillsdale College
    Hillsdale, MI
  • 02/2019 → 08/2021
    Philadelphia, PA
  • 08/2021 → Present
    New York, NY
Other Businesses

(1) Name of Business: NBD LLC Address: 196 Willoughby St Apt 15M, Brooklyn, NY, 11201, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 03/14/2025 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: NBD LLC was formed to host No Bad Days Run Club. I am the leader of the run club and the sole member of the LLC.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-08-23
S63 Uniform Securities Agent State Law Examination 2018-10-19
  • S66 Uniform Combined State Law Examination
    2019-08-23
  • S63 Uniform Securities Agent State Law Examination
    2018-10-19
Other Names
  • Nathan J. Putrich

View on SEC IAPD

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