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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2014-07-11
  • CA RA
    APPROVED
    Since 2014-07-11

Branch Locations

7545 Irvine Center Drive Suite 200, Irvine, CA 92618 • United States

Disclosures

2 disclosure categories 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James Financial Services, Inc. San Diego CA 08/2012 Present
Raymond James Financial Services Advisors Inc. San Diego CA 09/2012 Present
Capital Wealth Advisors Irvine TX 08/2012 Present
Previous Registrations
Other Businesses

(1)Name of Business: Capital Wealth Advisors Address: 7545 Irvine Center Dr Ste 200, Irvine, CA, 92618, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 08/28/2012 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Owner

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-01-16
S63 Uniform Securities Agent State Law Examination 1992-11-24
  • S65 Uniform Investment Adviser Law Examination
    1997-01-16
  • S63 Uniform Securities Agent State Law Examination
    1992-11-24
Other Names
  • Michael P Guidroz

View on SEC IAPD

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