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Raymond James Financial Services Advisors, Inc CRD 149018
$390B regulatory AUM 5,542 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2016-12-05 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
(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
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-08-29 |
| S63 | Uniform Securities Agent State Law Examination | 2005-07-28 |
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