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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_RES 2026-02-24
IL RA APPROVED 2026-01-20
  • TX RA
    APPROVED_RES
    Since 2026-02-24
  • IL RA
    APPROVED
    Since 2026-01-20

Branch Locations

615 35Th Ave, Moline, IL 61265 • 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
Sbs Private Wealth Management, Inc. Moline IL 09/2019 10/2019
Kwqc-Tv Davenport IA 12/2000 09/2019
Lpl Financial Moline IL 10/2019 01/2026
Raymond James Financial Services Inc. Moline IL 01/2026 Present
Raymond James Financial Services Advisors Inc. Moline IL 01/2026 Present
  • 09/2019 → 10/2019
    Sbs Private Wealth Management, Inc.
    Moline, IL
  • 12/2000 → 09/2019
    Kwqc-Tv
    Davenport, IA
  • 10/2019 → 01/2026
    Lpl Financial
    Moline, IL
  • 01/2026 → Present
    Raymond James Financial Services Inc.
    Moline, IL
  • 01/2026 → Present
    Moline, IL
Previous Registrations
Other Businesses

(1)Name of Business: SBS Financial, Inc. Address: 615 35th Ave, Moline, IL, 61265-6107, United States Activity Type: Support Company - Owner Position/Title: Officer - Secretary Investment Related: No Start Date: 01/01/2024 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: DBA for financial advisory practice.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-12-09
  • S66 Uniform Combined State Law Examination
    2019-12-09

View on SEC IAPD

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