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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
CO RA APPROVED 2024-08-01
TX RA APPROVED 2024-08-01
  • CO RA
    APPROVED
    Since 2024-08-01
  • TX RA
    APPROVED
    Since 2024-08-01

Branch Locations

760 Horizon Dr Suite 402, Grand Junction, CO 81506 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Clearing Services, Llc Grand Junction CO 02/2023 08/2024
Edward Jones Investments Grand Junction CO 08/2019 02/2023
Icon Eye Care Grand Junction CO 05/2019 08/2019
Wells Fargo Bank Grand Junction CO 01/2016 05/2019
Gvvec Grand Junction CO 02/2018 02/2019
Raymond James Financial Services, Inc. Grand Junction CO 08/2024 Present
Raymond James Financial Services Advisors, Inc. Grand Junction CO 08/2024 Present
  • 02/2023 → 08/2024
    Grand Junction, CO
  • 08/2019 → 02/2023
    Edward Jones Investments
    Grand Junction, CO
  • 05/2019 → 08/2019
    Icon Eye Care
    Grand Junction, CO
  • 01/2016 → 05/2019
    Wells Fargo Bank
    Grand Junction, CO
  • 02/2018 → 02/2019
    Gvvec
    Grand Junction, CO
  • 08/2024 → Present
    Raymond James Financial Services, Inc.
    Grand Junction, CO
  • 08/2024 → Present
    Grand Junction, CO
Previous Registrations
Other Businesses

(1) Name of Business: Mt. Garfield Wealth Management Group Address: 760 Horizon Dr Ste 402, Grand Junction, CO, 81506-3966, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 07/31/2024 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Client Service Associate & Office Manager

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-04-22
  • S66 Uniform Combined State Law Examination
    2024-04-22
Other Names
  • Kristen Janae Jackson
  • Kristen Janae Brandt

View on SEC IAPD

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