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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
GA RA APPROVED 2022-11-03
TX RA APPROVED_RES 2022-10-31
  • GA RA
    APPROVED
    Since 2022-11-03
  • TX RA
    APPROVED_RES
    Since 2022-10-31

Branch Locations

301 Green Street Nw Suite 200G, Gainesville, GA 30501 • 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
Cantella And Co, Inc. Boston MA 10/2010 10/2022
Raymond James Financial Services, Inc. Gainesville GA 10/2022 Present
Raymond James Financial Services Advisors, Inc. Gainesville GA 10/2022 Present
Previous Registrations
  • 2010-11-03 → 2022-11-03
    Cantella & Co., Inc.
    Gainesville, GA
    Malden, MA
    Gainesville, GA
  • 2010-03-25 → 2010-11-04
    Nexity Financial Services, Inc.
    Gainesville, GA
  • 2009-01-02 → 2010-03-24
    Gainesville, GA
  • 2006-03-08 → 2009-01-02
    Raymond James Financial Services, Inc.
    St. Petersburg, FL
    Gainesville, GA
Other Businesses

(1) Name of Business: JMT Investments Address: 301 Green St NW Ste 200G, Gainesville, GA, 30501-3326, United States Activity Type: Support Company - Owner Position/Title: Officer - President Investment Related: No Start Date: 10/10/2006 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Shell s-corp company to run monthly payroll to withhold taxes. (2) Name of Business: Turner Johnson Group Address: 301 Green St NW Ste 200G, Gainesville, GA, 30501-3326, United States Activity Type: Support Company - Owner Position/Title: Officer - President Investment Related: No Start Date: 10/06/2006 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: LLC established to receive payroll funds from Raymond James and pay bills (3) Name of Business: Ware Foundation Address: 301 Green St NW Ste 200G, Gainesville, GA, 30501-3326, United States Activity Type: Non profit Position/Title: Board Member Investment Related: Yes Start Date: 10/12/2020 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Help with operating budget and my duties as FA. Raymond James Trust handles all the investments and financial transactions. Not me.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-02-24
S63 Uniform Securities Agent State Law Examination 1992-08-14
  • S66 Uniform Combined State Law Examination
    2006-02-24
  • S63 Uniform Securities Agent State Law Examination
    1992-08-14
Other Names
  • John M Turner
  • Mark Turner

View on SEC IAPD

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