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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
NY RA APPROVED 2021-06-14
TX RA APPROVED_RES 2015-06-19
  • NY RA
    APPROVED
    Since 2021-06-14
  • TX RA
    APPROVED_RES
    Since 2015-06-19

Branch Locations

358 Broadway Suite 203, Saratoga Springs, NY 12866 • 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. Saratoga Springs NY 02/1999 Present
High Point Trading & Consulting Saratoga Springs NY 02/2010 Present
Raymond James Financial Sevices Advisors, Inc Saratoga Springs NY 02/2005 Present
  • 02/1999 → Present
    Raymond James Financial Services, Inc.
    Saratoga Springs, NY
  • 02/2010 → Present
    High Point Trading & Consulting
    Saratoga Springs, NY
  • 02/2005 → Present
    Raymond James Financial Sevices Advisors, Inc
    Saratoga Springs, NY
Other Businesses

1.HIGH POINT TRADING & CONSULTING - SARATOGA SPRINGS, NY - 02/2010 TO PRESENT - SUPPORT COMPANY/DBA (OWNER) - 0 HOURS PER MONTH - 0 HOURS DURING TRADING HOURS -INVESTMENT RELATED 2. HIGH POINT TRADING & CONSULTING, SARATOGA SPRINGS, NY, SUPPORT COMPANY/DBA (OWNER), NON-INVESTMENT RELATED, 02/2010, 0 HRS PER MONTH,

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1998-07-22
S63 Uniform Securities Agent State Law Examination 1993-03-22
  • S66 Uniform Combined State Law Examination
    1998-07-22
  • S63 Uniform Securities Agent State Law Examination
    1993-03-22
Other Names
  • John Costantino

View on SEC IAPD

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