Stephen Bradley Giauque

Current Employers

Employment History

• 06/1996 → 03/2017
  Raymond James & Associates, Inc.
  Boca Raton, FL
• 03/2009 → Present
  Prominent Sire Lines, Llc, Aka Thoroughline, Inc
  Boca Raton, FL
• 03/2017 → Present
  Raymond James Financial Services, Inc
  Boca Raton, FL
• 08/2000 → Present
  Equintesential Llc
  Boca Raton, FL
• 06/2009 → Present
  Private Transaction
  Ocala, FL
• 03/2017 → Present
  Raymond James Financial Services Advisors, Inc.
  Boca Raton, FL
• 05/2017 → Present
  Triple Crown Wealth Management Group, Llc
  Boca Raton, FL
• 04/2022 → Present
  Boca Raton Financial Planners
  Boca Raton, FL

Previous Registrations

• 1996-06-14 → 2017-03-13
  Raymond James & Associates, Inc.
  Boca Raton, FL
  Boca Raton, FL
  Boca Raton, FL

Other Businesses

(1)Name of Business: Owl & Oak Club Investment Address: 301 E Yamato Rd Ste 3160, Boca Raton, FL, 33431-4920, United States Activity Type: Other Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 02/15/2023 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Investment Club (2)Name of Business: Prominent Sire Lines, LLLC Address: 233 S. Federal Hwy, #315, Boca Raton, FL, 33432, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 03/01/2009 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Updated original copyright of Prominent Sire Lines in America sire lines chart. Sells updated version, Prominent Sire Lines in America IV and V direct to retail via internet at www.ProminentSireLines.com and to wholesale horse racing and breeding retailers. (3)Name of Business: Triple Crown Wealth Management Group, LLC Address: 301 E Yamato Rd Ste 3160, Boca Raton, FL, 33431, United States Activity Type: Support Company - Owner Position/Title: Independent Contractor, Associate/Employee, Officer - President, Officer - Secretary Investment Related: No Start Date: 05/01/2017 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Owner/Managing Member (4)Name of Business: Arthur Rottenstein LLC Address: 301 E Yamato Rd Ste 3160, Boca Raton, FL, 33431, United States Activity Type: Support Company - Non Owner Position/Title: Other Investment Related: No Start Date: 03/13/2017 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Support Company established for RJFS practice (5) Name of Business: Boca Raton Financial Planners Address: 301 Yamato Road, Boca Raton, FL, 33431, United States Activity Type: Support Company - Non-Owner Position/Title: Associate/Employee Investment Related: No Start Date: 04/12/2022 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: None (6) Name of Business: Arthur Rottenstein LLC Address: 301 E Yamato Rd Ste 3160, Boca Raton, FL, 33431, United States Activity Type: Support Company - Non Owner Position/Title: Other Investment Related: No Start Date: 03/13/2017 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Support Company established for RJFS practice

Exams

• S65 Uniform Investment Adviser Law Examination
  1993-02-05
• S63 Uniform Securities Agent State Law Examination
  1991-10-25

Designations