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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 2019-05-31
OH RA APPROVED 2017-05-02
  • TX RA
    APPROVED_RES
    Since 2019-05-31
  • OH RA
    APPROVED
    Since 2017-05-02

Branch Locations

Springboro, OH • United States

1700 Lyons Road Suite D, Dayton, OH 45458 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James Financial Services, Inc. Dayton OH 03/2017 Present
Raymond James Financial Services Advisors Inc. Dayton OH 05/2017 Present
Lpl Financial, Llc Aka Linsco/Private Ledger Corp. West Carrollton OH 02/1994 03/2017
  • 03/2017 → Present
    Raymond James Financial Services, Inc.
    Dayton, OH
  • 05/2017 → Present
    Dayton, OH
  • 02/1994 → 03/2017
    Lpl Financial, Llc Aka Linsco/Private Ledger Corp.
    West Carrollton, OH
Previous Registrations
  • 1999-10-15 → 2017-03-31
    Dayton, OH
    Dayton, OH
    Mason, OH
    Dayton, OH
    Dayton, OH
    Piqua, OH
    Dayton, OH
    Springfield, OH
    Dayton, OH
    West Chester, OH
    Middletown, OH
    Dayton, OH
    Springfield, OH
    Beavercreek, OH
    Beavercreek, OH
    Middletown, OH
    Dayton, OH
    Springboro, OH
    Vandalia, OH
    Aberdeen, OH
    Springboro, OH
    Dayton, OH
    Kettering, OH
    Englewood, OH
    Dayton, OH
    Springfield, OH
    Englewood, OH
    Aberdeen, OH
    Englewood, OH
    Dayton, OH
    Kettering, OH
    Springboro, OH
    Beavercreek, OH
    Middletown, OH
    Springfield, OH
    Dayton, OH
    Dayton, OH
    Dayton, OH
    Diqua, OH
    Springfield, OH
    Mason, OH
    Dayton, OH
    Eaton, OH
    Eaton, OH
    Springboro, OH
    Dayton, OH
    Moraine, OH
Other Businesses

(1)Name of Business: Harrison Address: 504 E Lower Springboro Rd, Springboro, OH, 45066, United States Activity Type: Control Person Position/Title: Trustee (Named Only) Investment Related: Yes Start Date: 03/17/2017 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I am successor trustee for my parents trust (2)Name of Business: Harrison Wealth Management Group, Ltd. Address: 1700 Lyons Road Suite D, Dayton, OH, 45458, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 03/17/2017 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Securities and Insurance, Investment Management (3)Name of Business: Harrison Weath Management Group, Ltd. Address: 1700 Lyons Road Suite D, Dayton, OH, 45458, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 03/17/2017 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Owner/Branch Manager

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1995-12-19
  • S63 Uniform Securities Agent State Law Examination
    1995-12-19

View on SEC IAPD

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