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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2009-06-30
  • PA RA
    APPROVED
    Since 2009-06-30

Branch Locations

4127 Tilghman Street, Allentown, PA 18104 • 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 Lancaster PA 06/2009 Present
Raymond James Financial Services Advisors, Inc. Emmaus PA 06/2009 Present
Fulton Financial Advisors Allentown PA 11/2019 11/2019
Fulton Financial Corp Allentown PA 06/2009 06/2019
Fulton Bank Allentown PA 06/2019 Present
  • 06/2009 → Present
    Raymond James Financial Services
    Lancaster, PA
  • 06/2009 → Present
    Emmaus, PA
  • 11/2019 → 11/2019
    Fulton Financial Advisors
    Allentown, PA
  • 06/2009 → 06/2019
    Fulton Financial Corp
    Allentown, PA
  • 06/2019 → Present
    Fulton Bank
    Allentown, PA
Previous Registrations
Other Businesses

(1)Name of Business: Fulton Financial Advisors Address: 4127 W Tilghman St, Allentown, PA, 18104, United States Activity Type: Support Company - Non Owner Position/Title: Other Investment Related: No Start Date: 11/05/2019 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: sales

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-06-30
S63 Uniform Securities Agent State Law Examination 1996-04-29
  • S65 Uniform Investment Adviser Law Examination
    1997-06-30
  • S63 Uniform Securities Agent State Law Examination
    1996-04-29

View on SEC IAPD

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