Best Investors Account Sign in
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
CT RA APPROVED 2015-09-10
  • CT RA
    APPROVED
    Since 2015-09-10

Branch Locations

315 Main Street 1St Floor, Middletown, CT 06457 • 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
Raymond James Financial Services, Inc. Middletown CT 08/2015 Present
Raymond James Financial Services Advisors Inc. Middletown CT 09/2015 Present
Liberty Bank Middletown CT 08/2015 Present
Liberty Bank Investment Services Middletown CT 08/2015 Present
  • 08/2015 → Present
    Raymond James Financial Services, Inc.
    Middletown, CT
  • 09/2015 → Present
    Middletown, CT
  • 08/2015 → Present
    Liberty Bank
    Middletown, CT
  • 08/2015 → Present
    Liberty Bank Investment Services
    Middletown, CT
Previous Registrations
  • 2006-10-23 → 2013-10-14
    Global Portfolio Strategies, Inc.
    Hartford, CT
  • 2005-02-01 → 2005-04-30
    Prudential Retirement Brokerage Services, Inc.
    Hartford, CT
  • 2004-10-20 → 2005-01-10
    Banc Of America Investment Services, Inc.
    Hartford, CT
  • 2002-12-04 → 2004-10-20
    Quick & Reilly, Inc.
    Hartford, CT
Other Businesses

(1)Name of Business: Liberty Bank Investment Services Address: 315 Main St Fl 1, Middletown, CT, 06457, United States Activity Type: Support Company - Non Owner Associate Position/Title: Other Investment Related No Start Date: 08/10/2015 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Program Director for LBIS at Liberty Bank.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-08-28
S63 Uniform Securities Agent State Law Examination 1993-01-15
  • S65 Uniform Investment Adviser Law Examination
    1998-08-28
  • S63 Uniform Securities Agent State Law Examination
    1993-01-15
Other Names
  • Jill Mayfield Spencer
  • Jill Spencer
  • Jill Mayfield Spencer Honeycomb

View on SEC IAPD

Nearby Firms

Nearby Investors

Nearby Offices

More in Middletown, CT

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor