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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
TN RA APPROVED 2018-01-22
TX RA APPROVED 2018-01-12
  • TN RA
    APPROVED
    Since 2018-01-22
  • TX RA
    APPROVED
    Since 2018-01-12

Branch Locations

424 Donelson Pike, Nashville, TN 37214 • 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
Suntrust Investment Services, Inc. Nashville TN 05/1993 01/2018
Pinnacle Bank Nashville TN 01/2018 Present
Raymond James Financial Services, Inc. Nashville TN 01/2018 Present
Raymond James Financial Services Advisors Inc. Nashville TN 01/2018 Present
  • 05/1993 → 01/2018
    Suntrust Investment Services, Inc.
    Nashville, TN
  • 01/2018 → Present
    Pinnacle Bank
    Nashville, TN
  • 01/2018 → Present
    Raymond James Financial Services, Inc.
    Nashville, TN
  • 01/2018 → Present
    Nashville, TN
Previous Registrations
  • 2016-08-30 → 2018-01-19
    Lebanon, TN
    Mt. Juliet, TN
    Nashville, TN
  • 2003-01-02 → 2016-12-31
    Truist Investment Services, Inc.
    Nashville, TN
    Nashville, TN
    Nashville, TN
    Lebanon, TN
    Mt. Juliet, TN
    Old Hickory, TN
Other Businesses

(1) Name of Business: Pinnacle Asset Management Address: 424 Donelson Pike, Nashville, TN, 37214, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 07/23/2019 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Providing Financial advice and direction

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-12-20
S63 Uniform Securities Agent State Law Examination 1992-11-02
  • S66 Uniform Combined State Law Examination
    2002-12-20
  • S63 Uniform Securities Agent State Law Examination
    1992-11-02

View on SEC IAPD

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