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Brian Blair Rockwell

Raymond James & Associates, Inc.

Trinity, FL

Trinity, FL

CRD 2307686

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Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 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 & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 1996-11-06
TX RA APPROVED_RES 1996-10-30
  • FL RA
    APPROVED
    Since 1996-11-06
  • TX RA
    APPROVED_RES
    Since 1996-10-30

Branch Locations

Trinity, FL • United States

11300 State Road 54, Trinity, FL 34655 • 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 & Associates, Inc. Holiday FL 10/1996 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1993-01-07
  • S63 Uniform Securities Agent State Law Examination
    1993-01-07

View on SEC IAPD

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