Mandeep Kaur

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2012 → Present
  Addison Avenue
  Rocklin, CA
• 08/2016 → Present
  First Tech Federal Credit Union
  Rocklin, CA
• 01/2012 → Present
  Raymond James Financial Services, Inc.
  Rocklin, CA
• 01/2012 → Present
  Raymond James Financial Services Advisors Inc.
  Rocklin, CA
• 07/2013 → 11/2016
  Insurance-Non Variable
  Rocklin, CA
• 06/2012 → 07/2017
  Referral Fees
  Rocklin, CA

Previous Registrations

• 2009-03-17 → 2012-01-25
  Essex National Securities, Llc
  Rocklin, CA
• 2005-11-29 → 2009-01-22
  Wells Fargo Investments, Llc
  Sacramento, CA
  Santa Clara, CA
  Santa Clara, CA
  San Jose, CA
  San Jose, CA

Other Businesses

(1)Name of Business: Addison Avenue Investment Services Address: 1011 Sunset Blvd Ste 210, Rocklin, CA, 95765, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 01/21/2012 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: provide back office support/compliance principal (2)Name of Business: Chub Rok Unlimited Address: 9239 Rainbowcreek Way, Elk Grove, CA, 95624, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 11/19/2021 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: FBA - Fulfillment by Amazon business through Alibaba (3)Name of Business: First Tech Fed Credit Union Address: 1011 Sunset Blvd Ste 210, Rocklin, CA, 95765, United States Activity Type: Bank or Credit Union Associate Position/Title: Other Investment Related: Yes Start Date: 08/03/2016 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Compliance Support Specialist to the Investment Department

Exams

• S66 Uniform Combined State Law Examination
  2005-11-28