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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
IN RA APPROVED 2025-01-24
TX RA APPROVED_RES 2025-01-22
KY RA APPROVED 2022-03-08
  • IN RA
    APPROVED
    Since 2025-01-24
  • TX RA
    APPROVED_RES
    Since 2025-01-22
  • KY RA
    APPROVED
    Since 2022-03-08

Branch Locations

1040 E Main St, Louisville, KY 40206 • United States

4800 Brownsboro Road, Louisville, KY 40207 • 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
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
  • 12/2014 → 05/2018
    Tiaa
    Louisville, KY
  • 12/2014 → 05/2018
    Louisville, KY
  • 06/2018 → 09/2020
    Us Bank
    Louisville, KY
  • 06/2018 → 09/2020
    Louisville, KY
  • 03/2022 → Present
    Raymond James Financial Services Inc
    Louisville, KY
  • 09/2020 → Present
    Stock Yards Bank
    Louisville, KY
  • 03/2022 → Present
    Raymond James Financial Services Advisors
    Louisville, KY
Previous Registrations
Other Businesses

(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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-03-24
S63 Uniform Securities Agent State Law Examination 2006-02-03
  • S65 Uniform Investment Adviser Law Examination
    2015-03-24
  • S63 Uniform Securities Agent State Law Examination
    2006-02-03
Other Names
  • Jimmy P Johnson

View on SEC IAPD

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