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Raymond James Financial Services Advisors, Inc CRD 149018
$390B regulatory AUM 5,542 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2020-05-26 |
| TX | RA | APPROVED_RES | 2019-11-05 |
| FL | RA | APPROVED | 2018-05-24 |
Branch Locations
108 State St Suite 200, Greensboro, NC 27408 • 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 |
|---|---|---|---|---|
| Morgan Stanley Smith Barney | West Palm Beach | FL | 01/2011 | 05/2018 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 05/2018 |
| Raymond James Financial Services, Inc. | Greensboro | NC | 05/2018 | Present |
| Raymond James Financial Services Advisors Inc. | Greensboro | NC | 05/2018 | Present |
| Cassandra Financial Group | Boynton Beach | FL | 06/2018 | 05/2020 |
1).MUTUAL CAPITAL PARTNERS, A VENTURE CAPITAL FUND, LOCATED IN OHIO, PASSIVE INVESTOR SINCE 5/2018.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-10-20 |
| S63 | Uniform Securities Agent State Law Examination | 1994-03-02 |
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