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Current Employers
Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-10-13
  • CA RA
    APPROVED
    Since 2025-10-13

Branch Locations

520 Tamalpais Dr Ste 103 And 104, Corte Madera, CA 94925 • United States

Financial Security Planning Services, Inc.

520 Tamalpais Drive Suite 103 & 104, Corte Madera, CA 94925 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2000-05-30
  • CA RA
    APPROVED
    Since 2000-05-30
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
Commonwealth Financial Network Waltham MA 01/1993 10/2025
Financial Security Planning Services, Inc Corte Madera CA 12/1992 10/2025
Raymond James Financial Services, Inc. Corte Madera CA 10/2025 Present
Raymond James Financial Services Advisors, Inc. Corte Madera CA 10/2025 Present
Previous Registrations
Other Businesses

(1)Name of Business: Address: 520 Tamalpais Dr Suite 103 and 104, Corte Madera, CA, 94925-1558, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 01/17/2017 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Owner and manager of rental property located at 54 Hillcrest Road, Mill Valley, CA 94941 (2)Name of Business: Financial Security Planning Services, Inc. Address: 520 Tamalpais Dr Suite 103 and 104, Corte Madera, CA, 94925-1558, United States Activity Type: Support Company - Owner Position/Title: Officer - President Investment Related: No Start Date: 12/31/1992 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: I established the firm in CA & continue to serve as President. I am sole principal & shareholder, responsible for all affairs of the firm. I only provide financial planning consultations. All decisions about whether & how to implement recommendations rest entirely with the client. Clients are free at all times to accept/reject all recommendations. Under no circumstances does the firm take custody of any client funds or securities.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1990-09-27
  • S63 Uniform Securities Agent State Law Examination
    1990-09-27

View on SEC IAPD

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