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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
MT RA APPROVED 2009-01-02
  • MT RA
    APPROVED
    Since 2009-01-02

Branch Locations

303 North Broadway Suite 701, Billings, MT 59101 • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James Financial Services, Inc Billings MT 04/2003 Present
Raymond James Financial Services Advisors, Inc Billings MT 01/2009 Present
New Day Ranch, Inc Billings MT 04/2009 01/2023
Previous Registrations
Other Businesses

(1) Name of Business: RC Parker PC Address: 303 N 28th St Ste 701, Billings, MT, 59101, United States Activity Type: Support Company - Owner Position/Title: Officer - President Investment Related: No Start Date: 08/03/2017 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: This is my company through which I receive my income and pay my taxes as a RJFS Financial Advisor. (2) Name of Business: Sun Mountain Wealth Partners Address: 303 North Broadway, Billings, MT, 59101, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 05/01/2013 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Financial Advisor for Sun Mountain Wealth Partners, RJFS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-30
S63 Uniform Securities Agent State Law Examination 1992-11-14
  • S65 Uniform Investment Adviser Law Examination
    1999-12-30
  • S63 Uniform Securities Agent State Law Examination
    1992-11-14

View on SEC IAPD

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