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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 2016-12-05
  • TX RA
    APPROVED
    Since 2016-12-05

Branch Locations

101 South Main Street, Victoria, TX 77901 • 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Cetera Investment Services Llc St. Cloud MN 05/2005 12/2016
Cetera Investment Advisers Llc Victoria TX 01/2014 12/2016
Raymond James Financial Services,Inc Victoria TX 12/2016 Present
Raymond James Financial Services Advisors Inc. Victoria TX 12/2016 Present
Prosperity Bank Victoria TX 12/2016 Present
Previous Registrations
  • 2014-01-21 → 2016-12-02
    Victoria, TX
  • 2011-08-30 → 2014-01-21
    Cetera Investment Services Llc
    Victoria, TX
    Victoria, TX
    Yorktown, TX
    Edna, TX
    Cuero, TX
Other Businesses

(1)Name of Business: Prosperity Private Investments Address: 101 S Main St, Victoria, TX, 77901, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 08/07/2019 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 21-40 Description of duties: Financial Advisor

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-08-29
S63 Uniform Securities Agent State Law Examination 2005-07-28
  • S65 Uniform Investment Adviser Law Examination
    2011-08-29
  • S63 Uniform Securities Agent State Law Examination
    2005-07-28

View on SEC IAPD

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