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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 |
|---|---|---|---|
| TX | RA | APPROVED | 2019-12-17 |
Branch Locations
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 | Houston | TX | 02/2014 | 05/2017 |
| Raymond James Financial Services, Inc | Houston | TX | 06/2017 | Present |
(1)Name of Business: Sage Street Financial Advisory Address: 1800 West Loop S Ste 1650, Houston, TX, 77027-3249, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 06/01/2017 Hours per month devoted to this business: 21-40 Hours per month devoted to this business during trading hours: 21-40 Description of duties: I am the office Executive Assistant and I am registered as a back up for my FInancial Advisors. I do not meet with clients nor do I provided financial advice. I have administrative duties.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-10-22 |
| S63 | Uniform Securities Agent State Law Examination | 1996-06-13 |
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