Samuel Robert Rockwell

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-09-22
FL	RA	APPROVED	2019-05-31

TX RA
APPROVED_RES

Since 2021-09-22
FL RA
APPROVED

Since 2019-05-31

Branch Locations

Odessa, FL • United States

11300 State Road 54, Trinity, FL 34655 • 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

Organization	City	State	From	To
Raymond James & Associates, Inc.	Largo	FL	01/2019	Present
Tech Data	Clearwater	FL	11/2013	01/2019

01/2019 → Present

Raymond James & Associates, Inc.

Largo, FL
11/2013 → 01/2019

Tech Data

Clearwater, FL

Other Businesses

1)Name of Business : Chi Chi Rodriguez Youth Foundation Address: Clearwater, FL Nature of the Business: Other (unpaid) Position/Title: Other (unpaid) Investment Related: No Start Date: 08/22/2019 Hours per month devoted to this business: 1 Hours per month devoted to this business during trading hours: 0 Description of duties: Executive Committee Member

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2019-05-28

S66 Uniform Combined State Law Examination

2019-05-28

Other Names

Samuel Robert Rockwell
Samuel Rockwell

View on SEC IAPD