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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
TX RA APPROVED 2023-08-08
  • TX RA
    APPROVED
    Since 2023-08-08

Branch Locations

Lipan, TX • United States

54 Sugar Creek Center Blvd. Suite 300, Sugar Land, TX 77478 • 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
Comerica Securities Sugarland TX 01/1995 08/2023
Raymond James Financial Services, Inc. Sugar Land TX 08/2023 Present
Raymond James Financial Services Advisors, Inc. Sugar Land TX 08/2023 Present
Previous Registrations
  • 2002-05-01 → 2023-08-18
    Comerica Securities
    Houston, TX
    Sugar Land, TX
    Sugarland, TX
Other Businesses

(1)Name of Business: BrightHawk Wealth Address: 54 Sugar Creek Center Blvd, Sugar Land, TX, 77478-4064, United States Activity Type: Support Company - Owner Position/Title: Associate/Employee Investment Related: No Start Date: 08/08/2023 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Manage investments for clients to grow their wealth. (2)Name of Business: Gabany Wealth Management Address: 54 Sugar Creek Center Blvd, Sugar Land, TX, 77478-4064, United States Activity Type: Support Company - Owner Position/Title: Independent Contractor Investment Related: No Start Date: 08/08/2023 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 2-10 Description of duties: A LLC to run my business through. (3)Name of Business: Indian Star 818, LLC Address: 8222 \nN FM 1189, Lipan, TX, 76462, United States Activity Type: Agriculture/Farming Position/Title: Owner/Proprietor Investment Related: No Start Date: 10/11/2019 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Raise a very small herd of cows and sell them every two years when the male calves are ~1000-1200 pounds. My husband and I fund the LLC when it is short. We don't anticipate making any money. We have a small herd to get the ag exemption. My husband takes care of the ranch. I just feed chickens and collect the fresh eggs. (4)Name of Business: Simplicity (IMO) Address: 54 Sugar Creek Center Blvd, Sugar Land, TX, 77478-4064, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 11/14/2023 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Servicing Oceanview clients as needed.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-06-14
S63 Uniform Securities Agent State Law Examination 1993-09-08
  • S66 Uniform Combined State Law Examination
    2004-06-14
  • S63 Uniform Securities Agent State Law Examination
    1993-09-08
Designations
  • Certified Financial Planner
Other Names
  • Nancy Ruth Henderson
  • Nancy Ruth Henderson
  • Nancy Henderson
  • Nancy Ruth Pierce

View on SEC IAPD

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