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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
AL RA APPROVED 2022-11-09
  • AL RA
    APPROVED
    Since 2022-11-09

Branch Locations

3100 5Th Ave S, Birmingham, AL 35233 • 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
Hampden Sydney College Hampden Sydney VA 08/2015 05/2019
Protective Life Corp Birmingham AL 05/2018 08/2018
Raymond James Financial Services, Inc Birmingham AL 10/2022 Present
Hartline Financial Advisors Birmingham AL 08/2019 Present
Raymond James Financial Services Advisors, Inc Birmingham AL 10/2022 Present
Simon Markets Llc Birmingham AL 05/2021 06/2022
Hoffbrau Haus Helen GA 07/2018 10/2018
  • 08/2015 → 05/2019
    Hampden Sydney College
    Hampden Sydney, VA
  • 05/2018 → 08/2018
    Protective Life Corp
    Birmingham, AL
  • 10/2022 → Present
    Raymond James Financial Services, Inc
    Birmingham, AL
  • 08/2019 → Present
    Hartline Financial Advisors
    Birmingham, AL
  • 10/2022 → Present
    Birmingham, AL
  • 05/2021 → 06/2022
    Simon Markets Llc
    Birmingham, AL
  • 07/2018 → 10/2018
    Hoffbrau Haus
    Helen, GA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-05-28
  • S66 Uniform Combined State Law Examination
    2020-05-28

View on SEC IAPD

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