James Richard Harkins

$501B regulatory AUM 2,231 advisory clients

Reported services (Item 5G)

From the firm’s Form ADV. Read the guides:

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

Authority	Category	Status	Date
NV	RA	APPROVED	2024-10-29

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Boyd Gaming/Cannery Casino	Las Vegas	NV	03/2017	04/2017
The Mark Travel Company	Las Vegas	NV	10/2016	11/2016
Scottrade, Inc.	Las Vegas	NV	04/2017	02/2018
Unemployed	Las Vegas	NV	11/2016	03/2017
Unemployed	Las Vegas	NV	08/2016	10/2016
Nevada State Bank	Las Vegas	NV	11/2021	10/2024
Lpl Financial	Las Vegas	NV	11/2021	10/2024
Amica Insurance	Henderson	NV	07/2020	08/2020
William Hill	Las Vegas	NV	07/2021	09/2021
The Home Depot	Las Vegas	NV	03/2019	10/2019
Resorts World	Las Vegas	NV	04/2021	05/2021
Unemployed	Las Vegas	NV	10/2019	07/2020
Unemployed	Las Vegas	NV	08/2020	04/2021
Unemployed	Las Vegas	NV	05/2021	07/2021
Unemployed	Las Vegas	NV	09/2021	11/2021
Unemployed	Las Vegas	NV	02/2018	03/2019
Raymond James & Associates, Inc.	Las Vegas	NV	10/2024	Present

2023-11-27 → 2024-10-25

Lpl Financial Llc

Las Vegas, NV
2017-05-01 → 2018-03-09

Scottrade Investment Management

Saint Louis, MO
2013-12-12 → 2016-03-10

Td Ameritrade, Inc.

Westlake, TX

Fort Worth, TX
2013-12-12 → 2016-03-10

Td Ameritrade Investment Management, Llc

Fort Worth, TX
2008-03-26 → 2009-05-13

Td Ameritrade, Inc.

Fort Worth, TX

Fort Worth, TX
2008-03-26 → 2009-05-13

Td Ameritrade Investment Management, Llc

Fort Worth, TX

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-11-11
S63	Uniform Securities Agent State Law Examination	2013-01-24

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