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880 Carillon Parkway, St. Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-04-21 |
Branch Locations
2999 Oak Road Suite 1030, Walnut Creek, CA 94597 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | San Francisco | CA | 11/2011 | 04/2025 |
| Raymond James & Associates, Inc. | Walnut Creek | CA | 04/2025 | Present |
(1)Name of Business: Janice Roberts Address: 2999 Oak Rd Ste 1030, Walnut Creek, CA, 94597-1996, United States Activity Type: Control Person Position/Title: Trustee (Acting), Executor (Acting) Investment Related: Yes Start Date: 04/29/2025 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: I was the co-Trustee on my Mother in Law's Trust as well as the Advisor. She passed away and now I am the co-executor alongside her son David Blue. I am in the process of distributing the assets to the beneficiaries as well as other chores of an executor. I am working with a Trust Attorney to be sure the Trust is followed. I am acting as an Advisor as well. I manage the account as a fee based account with a fee amount of 1.00% . I am going to be paid for executor duties ~ $27,000 or .075%.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-03-11 |
| S63 | Uniform Securities Agent State Law Examination | 1996-02-23 |
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