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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:

Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2025-01-09
  • MN RA
    APPROVED
    Since 2025-01-09

Branch Locations

5200 Members Pkwy. Nw, Rochester, MN 55901 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Think Mutual Bank Rochester MN 05/2011 Present
Raymond James Financial Services, Inc. Rochester MN 09/2024 Present
Raymond James Financial Services Advisors, Inc. Rochester MN 01/2025 Present
Other Businesses

(1)Name of Business: Arthur A Hirman Agency, Inc. DBA Think Insurance Address: 5200 Members Pkwy NW, Rochester, MN, 55901-8381, United States Activity Type: Non-variable Insurance Position/Title: Associate/Employee Investment Related: Yes Start Date: 03/11/2024 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Insurance Services Manager (2)Name of Business: The Open Door Food Pantry Address: 3000 Ames Crossing Rd, Suite 100, Eagan, MN, 55121, United States Activity Type: Non profit Position/Title: Board Member, Committee Member Investment Related: Yes Start Date: 02/03/2025 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Committee would be the Finance Committee for the non-profit. Monthly meeting to review organization financials. Board Member - \nDevelops the vision, mission, and strategic goals. Sets policies and provides oversight for implementation. Ensures that organization has the necessary financial resources to operate effectively. Approves an annual budget, monitors for fiscal soundness. Makes sure organization has policies and procedures in place to ensure a productive operating environment. (3)Name of Business: tHINK fINANCIAL pLANNING Address: 5200 Members Pkwy NW, Rochester, MN, 55901-8381, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 03/11/2024 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Client Service Manager

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-12-23
S63 Uniform Securities Agent State Law Examination 2009-01-30
  • S66 Uniform Combined State Law Examination
    2024-12-23
  • S63 Uniform Securities Agent State Law Examination
    2009-01-30
Other Names
  • Jake Earl Hines

View on SEC IAPD

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