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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
IL RA APPROVED 2009-01-02
  • IL RA
    APPROVED
    Since 2009-01-02

Branch Locations

3380 Lacrosse Ln Suite 108, Naperville, IL 60564 • 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
Raymond James Financial Services, Inc. Naperville IL 01/1999 Present
Brunnup Weldon Financial Group Naperville IL 01/2006 Present
Raymond James Financial Services Advisors, Inc Naperville IL 01/2009 Present
Other Businesses

Brunnup Weldon Financial Group Address: 3380 Lacrosse Ln. Suite 108,Naperville, IL Nature of the Business: Support Company/DBA (Owner) Position/Title: Support Company/DBA (Owner) Investment Related:No Start Date: 01/04/2006 Hours per month devoted to this business: 0 Hours per month devoted to this business during trading hours: 0 Description of duties: Financial Advisor.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-06-24
S63 Uniform Securities Agent State Law Examination 1990-08-08
  • S65 Uniform Investment Adviser Law Examination
    1999-06-24
  • S63 Uniform Securities Agent State Law Examination
    1990-08-08

View on SEC IAPD

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