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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 |
|---|---|---|---|
| IN | RA | APPROVED | 2025-01-24 |
| TX | RA | APPROVED_RES | 2025-01-22 |
| KY | RA | APPROVED | 2022-03-08 |
Branch Locations
1040 E Main St, Louisville, KY 40206 • United States
4800 Brownsboro Road, Louisville, KY 40207 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Tiaa | Louisville | KY | 12/2014 | 05/2018 |
| Tiaa-Cref Individual & Institutional Services, Llc | Louisville | KY | 12/2014 | 05/2018 |
| Us Bank | Louisville | KY | 06/2018 | 09/2020 |
| U.S. Bancorp Investments, Inc. | Louisville | KY | 06/2018 | 09/2020 |
| Raymond James Financial Services Inc | Louisville | KY | 03/2022 | Present |
| Stock Yards Bank | Louisville | KY | 09/2020 | Present |
| Raymond James Financial Services Advisors | Louisville | KY | 03/2022 | Present |
(1)Name of Business: Kentuckiana Friends of V Address: 3406 Sycamore Road, LaGrange, KY, 40031, United States Activity Type: Non profit Position/Title: Subcommittee Member Investment Related: Yes Start Date: 09/15/2025 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: On a volunteer basis I will be assisting the finance chair on basic balance sheet principles and will look to connect the organization to qualified CPAs with non-profit experience. (2)Name of Business: Stock Yards Bank Financial Services Address: 1040 E Main St, Louisville, KY, 40206-1856, United States Activity Type: Support Company - Non Owner Position/Title: Officer - Vice President Investment Related: No Start Date: 03/07/2022 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 41+ Description of duties: Financial Advisor (3)Name of Business: Stock Yards Investment Services Address: 1040 E Main St, Louisville, KY, 40206-1856, United States Activity Type: Support Company - Non Owner Position/Title: Officer - Vice President Investment Related: No Start Date: 03/07/2022 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Financial Advisor
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-03-24 |
| S63 | Uniform Securities Agent State Law Examination | 2006-02-03 |
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