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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
WA RA APPROVED 2025-10-08
  • WA RA
    APPROVED
    Since 2025-10-08

Branch Locations

Auburn, WA • 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. Auburn WA 10/2025 Present
Raymond James Financial Services Advisors, Inc. Auburn WA 10/2025 Present
Commonwealth Financial Network Waltham MA 08/2005 10/2025
Previous Registrations
Other Businesses

(1) Name of Business: B.I.G: BOWMAN INVESTMENT GROUP, INC. Address: Remote Location, AUBURN, WA, 98092, United States Activity Type: Support Company - Owner Position/Title: Independent Contractor, Officer - President Investment Related: No Start Date: 01/01/2019 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Provide financial consulting services, portfolio management, review protection needs, estate and financial/retirement planning (2) Name of Business: BnGRanchllc Address: 35833 166th Lane SE, Auburn, WA, 98092, United States Activity Type: Agriculture/Farming Position/Title: Owner/Proprietor, Officer - President Investment Related: No Start Date: 03/01/2019 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Care/training/breaking and eventual adoption related to rescue horses. Feed, house, and adopt them, once they are ready for their forever homes

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-01-26
S63 Uniform Securities Agent State Law Examination 1994-01-12
  • S65 Uniform Investment Adviser Law Examination
    1994-01-26
  • S63 Uniform Securities Agent State Law Examination
    1994-01-12
Other Names
  • Dee Bowman

View on SEC IAPD

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