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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2013-12-23 |
Branch Locations
11 East Superior Street Suite 544, Duluth, MN 55802 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James Financial Services, Inc. | Duluth | MN | 05/2009 | Present |
| Raymond James Financial Services Advisors, Inc | Duluth | MN | 05/2009 | Present |
(1)Name of Business: Cathedral of Our Lady of The Rosary Endowment Fund Address: 2801 E 4th Street, Duluth, MN, 55812, United States Activity Type: Non profit Position/Title: Board Member Investment Related: Yes Start Date: 05/02/2019 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: - Oversee investment manager's of the endowment fund - Provide input on annual endowment disbursements- Provide input on any relevant matters regarding fund (2)Name of Business: Lake Superior Financial Services, Inc. Address: 11 E Superior St Ste 544, Duluth, MN, 55802, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 05/09/2009 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: President / Manager / Owner
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-09-23 |
| S63 | Uniform Securities Agent State Law Examination | 1994-09-16 |
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