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Raymond James & Associates, Inc. CRD 705
$501B regulatory AUM 2,231 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
880 Carillon Parkway, St. Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2021-09-02 |
Branch Locations
4969 Us Hwy 42 Suite 1600, Louisville, KY 40222 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Louisville | KY | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Louisville | KY | 11/2016 | 08/2021 |
| Raymond James & Associates, Inc. | Louisville | KY | 08/2021 | Present |
(1)Name of Business: Address: 9906 Kenmont Ln, Louisville, KY, 40241, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 06/01/1984 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I'm the owner but I have had a property manager since 1993.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-09-13 |
| S63 | Uniform Securities Agent State Law Examination | 1993-09-09 |
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