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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-05-01
  • FL RA
    APPROVED
    Since 2024-05-01

Branch Locations

Palm Harbor, FL • United States

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

Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-04-30
  • FL RA
    APPROVED
    Since 2024-04-30

Branch Locations

Palm Harbor, FL • United States

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

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc Fort Lauderdale FL 09/2011 11/2016
Wells Fargo Clearing Services, Llc Fort Lauderdale FL 11/2016 07/2017
Wells Fargo Clearing Services Llc Frontenac MO 10/2017 12/2017
Wells Fargo Clearing Services Llc St. Louis MO 06/2018 07/2018
Unemployed Fort Lauderdale FL 12/2017 06/2018
Wells Fargo Securities Charlotte NC 08/2018 05/2019
Raymond James And Associates, Inc. St Petersburg FL 05/2021 03/2023
Unemployed Indiatlantic FL 06/2019 04/2021
Finra Palm Harbor FL 06/2010 Present
Raymond James & Associates Saint Petersburg FL 04/2024 Present
Raymond James Financial Services Saint Petersburg FL 04/2024 Present
Raymond James Financial Services Advisors Saint Petersburg FL 04/2024 Present
  • 09/2011 → 11/2016
    Wells Fargo Advisors, Llc
    Fort Lauderdale, FL
  • 11/2016 → 07/2017
    Fort Lauderdale, FL
  • 10/2017 → 12/2017
    Frontenac, MO
  • 06/2018 → 07/2018
    St. Louis, MO
  • 12/2017 → 06/2018
    Unemployed
    Fort Lauderdale, FL
  • 08/2018 → 05/2019
    Wells Fargo Securities
    Charlotte, NC
  • 05/2021 → 03/2023
    Raymond James And Associates, Inc.
    St Petersburg, FL
  • 06/2019 → 04/2021
    Unemployed
    Indiatlantic, FL
  • 06/2010 → Present
    Finra
    Palm Harbor, FL
  • 04/2024 → Present
    Raymond James & Associates
    Saint Petersburg, FL
  • 04/2024 → Present
    Raymond James Financial Services
    Saint Petersburg, FL
  • 04/2024 → Present
    Raymond James Financial Services Advisors
    Saint Petersburg, FL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-02-01
S65 Uniform Investment Adviser Law Examination 1997-07-22
S63 Uniform Securities Agent State Law Examination 1992-03-11
  • S66 Uniform Combined State Law Examination
    2024-02-01
  • S65 Uniform Investment Adviser Law Examination
    1997-07-22
  • S63 Uniform Securities Agent State Law Examination
    1992-03-11
Other Names
  • Laura Anne Hartz
  • Laura Anne Brock
  • Laura Anne Wheeler
  • Laura Anne Sullivan
  • Laura A Sullivan

View on SEC IAPD

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