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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_RES 2025-10-17
TN RA APPROVED 2022-08-11
  • TX RA
    APPROVED_RES
    Since 2025-10-17
  • TN RA
    APPROVED
    Since 2022-08-11

Branch Locations

801 Broad St Fl 2, Chattanooga, TN 37402 • 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
First Tennessee Brokerage Inc Chattanooga TN 02/1998 08/2022
Ftb Advisors, Inc. Chattanooga TN 10/2013 08/2022
Raymond James Financial Services, Inc Chattanooga TN 08/2022 Present
Raymond James Financial Services Advisors, Inc Chattanooga TN 08/2022 Present
Pinnacle Bank /Pinnacle Financial Partners Chattanooga TN 08/2022 Present
The Frank Group Chattanooga TN 08/2022 Present
  • 02/1998 → 08/2022
    First Tennessee Brokerage Inc
    Chattanooga, TN
  • 10/2013 → 08/2022
    Ftb Advisors, Inc.
    Chattanooga, TN
  • 08/2022 → Present
    Raymond James Financial Services, Inc
    Chattanooga, TN
  • 08/2022 → Present
    Chattanooga, TN
  • 08/2022 → Present
    Pinnacle Bank /Pinnacle Financial Partners
    Chattanooga, TN
  • 08/2022 → Present
    The Frank Group
    Chattanooga, TN
Previous Registrations
  • 2004-03-12 → 2022-08-11
    First Horizon Advisors, Inc.
    Chattanooga, TN
    Chattanooga, TN
  • 2010-01-06 → 2013-10-10
    Ftb Advisors, Inc.
    Memphis, TN
Other Businesses

(1)Name of Business: Pinnacle Asset Management Address: 801 Broad St Fl 2, Chattanooga, TN, 37402-2671, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 08/11/2022 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: build relationships with Pinnacle partners, seek prospects for bank and PAM offerings, meet with clients to discuss financial goals and objectives, manage client investment accounts. (2)Name of Business: The Frank Group Address: 801 Broad St Fl 2, Chattanooga, TN, 37402-2671, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 08/11/2022 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: build relantionships with bank partners,seek prospects for bank and PAM offerings,meet with clients to discuss goals, manage accounts.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1990-12-27
  • S63 Uniform Securities Agent State Law Examination
    1990-12-27
Other Names
  • Chris Frank

View on SEC IAPD

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