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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NM | RA | APPROVED | 2017-05-24 |
| TX | RA | APPROVED | 2017-05-22 |
Branch Locations
9798 Coors Boulevard Nw Building D, Albuquerque, NM 87114 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Albuquerque | NM | 10/2009 | 05/2017 |
| Bank Of America, N.A. | Albuquerque | NM | 01/2011 | 05/2017 |
| Raymond James Financial Services, Inc. | Albuquerque | NM | 05/2017 | Present |
| Raymond James Financial Services Advisors Inc. | Albuquerque | NM | 05/2017 | Present |
(1)Name of Business: Address: 3200 Civic Center Cir, Rio Rancho, NM, 87144, United States Activity Type: Board Member, Board Subcommittee Member, Officer, or Director Position/Title: Finance/Investment Committee Member Investment Related: Yes Start Date: 02/15/2023 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Review investment policies annually, provide input to Governing Body. Review investment holdings reports. Review quarterly performance reports. Review investments for compliance and policies. Review investment portfolio strategy, diversification, maturity, structure, and potential portfolio risks, efficacy of internal controls and procedures over investments. Review the selection of any investment advisor, broker/dealer or other investment consultant. (2)Name of Business: 3 Palms Properties Address: 3248 Greystone ct, Rio Rancho, NM, 87124, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 12/30/2021 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: wife and I are partners and I am advisory to her doing most of the work. I will monitor QuickBooks and Tax filing. (3)Name of Business: Baker Wealth Planning Group Address: 9798 Coors Blvd NW Bldg D, Albuquerque, NM, 87114, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 05/19/2017 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: CFP, Wealth Advisor, Business owner
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-04-04 |
| S63 | Uniform Securities Agent State Law Examination | 1992-09-24 |
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