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Current Employers
Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-06-24
CA RA APPROVED 2009-05-04
  • TX RA
    APPROVED_RES
    Since 2019-06-24
  • CA RA
    APPROVED
    Since 2009-05-04

Branch Locations

915 West Imperial Highway Suite 140, Brea, CA 92821 • 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 Brea CA 04/2009 Present
Raymond James Financial Services Advisors Brea CA 04/2009 Present
  • 04/2009 → Present
    Raymond James Financial Services
    Brea, CA
  • 04/2009 → Present
    Raymond James Financial Services Advisors
    Brea, CA
Previous Registrations
  • 2009-05-02 → 2009-05-11
    Chase Investment Services Corp.
    La Habra, CA
  • 2006-06-12 → 2009-05-02
    Wamu Investments, Inc.
    La Mirada, CA
    Irvine, CA
    La Habra, CA
    La Habra, CA
Other Businesses

(1)Name of Business: Foley Living Trust Address: 127 n Hidden cyn, orange, CA, 92869, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 04/08/2021 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: owner (2)Name of Business: foleykefalsinvestment services inc. Address: 915 w imperial hwy suite 140 brea ca 92821 suite 140, Brea, CA, 92821, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 02/11/2010 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: owner of company

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-10-10
S63 Uniform Securities Agent State Law Examination 1994-06-02
  • S65 Uniform Investment Adviser Law Examination
    2006-10-10
  • S63 Uniform Securities Agent State Law Examination
    1994-06-02
Other Names
  • Sunita Navin Ghetia
  • Sunita N Foley

View on SEC IAPD

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