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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2021-03-25
TX RA APPROVED_RES 2021-03-08
  • IL RA
    APPROVED
    Since 2021-03-25
  • TX RA
    APPROVED_RES
    Since 2021-03-08

Branch Locations

1901 Butterfield Rd Suite 100, Downers Grove, IL 60515 • 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
Morgan Stanley Lisle IL 06/2012 03/2021
Raymond James Financial Services, Inc. Downers Grove IL 03/2021 Present
Raymond James Financial Services Advisors, Inc. Downers Grove IL 03/2021 Present
Previous Registrations
Other Businesses

Name of Business: Kane Wealth Group Address: Downers Grove, IL, 60515-7915, United States -Activity Type: Support Company - Owner -Position/Title: Officer - President Investment Related: No -Start Date: 03/05/2021 -Hours per month devoted to this business: 81+ -Hours per month devoted to this business during trading hours: 81+ -Description of duties: Sole partner of Kane Wealth Group practice

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-03-16
S63 Uniform Securities Agent State Law Examination 1992-06-19
  • S65 Uniform Investment Adviser Law Examination
    1998-03-16
  • S63 Uniform Securities Agent State Law Examination
    1992-06-19

View on SEC IAPD

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