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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
KY RA APPROVED 2009-01-02
  • KY RA
    APPROVED
    Since 2009-01-02

Branch Locations

Lexington, KY • 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
Central Bank & Trust Co Lexington KY 12/2002 Present
Raymond James Financial Services, Inc. Lexington KY 01/1999 Present
Insurance Lexington KY 12/2005 Present
Raymond James Financial Services Advisors, Inc Lexington KY 01/2009 Present
Cental Investment Center Inc Lexington KY 12/2002 Present
Broken Egg Press Lexington KY 08/2017 Present
  • 12/2002 → Present
    Central Bank & Trust Co
    Lexington, KY
  • 01/1999 → Present
    Raymond James Financial Services, Inc.
    Lexington, KY
  • 12/2005 → Present
    Insurance
    Lexington, KY
  • 01/2009 → Present
    Lexington, KY
  • 12/2002 → Present
    Cental Investment Center Inc
    Lexington, KY
  • 08/2017 → Present
    Broken Egg Press
    Lexington, KY
Other Businesses

(1) Name of Business: The Fields Brothers Address: 2308 Lakeside Dr, Lexington, KY, 40502, United States Activity Type: Other Position/Title: Author Investment Related: No Start Date: 08/29/2017 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Co-writer of a book and involved in distribution;Participate in a podcast about life and faith

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-04-05
S63 Uniform Securities Agent State Law Examination 1994-04-28
  • S65 Uniform Investment Adviser Law Examination
    1995-04-05
  • S63 Uniform Securities Agent State Law Examination
    1994-04-28
Other Names
  • Jeff Fields

View on SEC IAPD

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