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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 2020-01-15
IA RA APPROVED 2009-01-02
  • TX RA
    APPROVED_RES
    Since 2020-01-15
  • IA RA
    APPROVED
    Since 2009-01-02

Branch Locations

1360 Sw Park Square Ste 106, Office 12/14, Ankeny, IA 50023 • United States

603 N Adams St, Carroll, IA 51401 • United States

Carroll, IA • 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. Carroll IA 01/1999 Present
Raymond James Financial Services Advisors, Inc Carroll IA 01/2009 Present
Other Businesses

1) Name of Business: Netusil Financial Services, Inc. Address: 603 N. Adams St, Carroll, IA, 51401, United States Activity Type: Support Company - Owner Position/Title: Officer - President Investment Related: No Start Date: 01/01/2012 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: owner

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-04-21
S63 Uniform Securities Agent State Law Examination 1992-04-08
  • S65 Uniform Investment Adviser Law Examination
    1992-04-21
  • S63 Uniform Securities Agent State Law Examination
    1992-04-08
Other Names
  • Clayton J Netusil

View on SEC IAPD

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