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Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-04-09
FL RA APPROVED 2019-04-03
  • TX RA
    APPROVED_RES
    Since 2019-04-09
  • FL RA
    APPROVED
    Since 2019-04-03

Branch Locations

Brownwood Paddock Square 2631 West Torch Lake Drive, The Villages, FL 32163 • United States

Webster, FL • 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
Wells Fargo Advisors Llc Lady Lake FL 10/2014 11/2016
Wells Fargo Clearing Services, Llc Lady Lake FL 11/2016 04/2019
Raymond James & Associates The Villages FL 04/2019 Present
  • 10/2014 → 11/2016
    Wells Fargo Advisors Llc
    Lady Lake, FL
  • 11/2016 → 04/2019
    Lady Lake, FL
  • 04/2019 → Present
    Raymond James & Associates
    The Villages, FL
Previous Registrations
  • 2014-10-24 → 2019-04-04
    Jacksonville, FL
    The Villages, FL
    Orlando, FL
    The Villages, FL
  • 2009-05-29 → 2014-10-27
    St Louis, MO
    Beverly Hills, FL
    Beverly Hills, FL
    Williston, FL
    Albany, GA
    The Villages, FL
    Williston, FL
    The Villages, FL
Other Businesses

(1)Name of Business: Med Assist of FL, LLC Address: 10334 SW 15th Dr, Webster, FL, 33597, United States Activity Type: Business Owner Position/Title: Partner Investment Related: No Start Date: 07/09/2024 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: As a certified nurse practitioner my wife is starting a med spa. I am only on the LLC in case something happens to her and I need to access any accounts (2)Name of Business: Reel Tight Precision, LLC Address: 10334 SW 15th Dr, Webster, FL, 33597, United States Activity Type: Business Owner Position/Title: Other Investment Related: No Start Date: 04/23/2020 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Managing Member of occasional charter service. Utilizing professional captains. (3)Name of Business: RNR Landholdings LLC Address: 10334 SW 15th Dr, Webster, FL, 33597, United States Activity Type: Business Owner Position/Title: Partner Investment Related: No Start Date: 04/02/2019 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 0-1 Description of duties: My wife owns a farm that I help with

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-04-24
  • S66 Uniform Combined State Law Examination
    2009-04-24
Other Names
  • William Romain Spell
  • Romain Spell

View on SEC IAPD

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