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Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 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 & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-10-03
MD RA APPROVED 2016-09-06
  • TX RA
    APPROVED_RES
    Since 2017-10-03
  • MD RA
    APPROVED
    Since 2016-09-06

Branch Locations

226 Schilling Cir Ste 270, Hunt Valley, MD 21031-8657 • United States

Baltimore, MD • 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
Deutsche Bank Securities Inc Baltimore MD 04/2015 09/2016
Raymond James & Associates, Inc. Baltimore MD 09/2016 Present
Previous Registrations
Other Businesses

(1)Name of Business: Charm City Dreamers LLC Address: 106 Woodlawn, Baltimore, MD, 21210, United States Activity Type: Business Owner Position/Title: Officer - CEO Investment Related: No Start Date: 08/01/2017 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Charm city dreamers is a podcast that I am starting where I interview people in Baltimore about how they have actualized their dreams.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-06-18
S63 Uniform Securities Agent State Law Examination 2011-09-23
  • S66 Uniform Combined State Law Examination
    2015-06-18
  • S63 Uniform Securities Agent State Law Examination
    2011-09-23
Designations
  • Chartered Financial Analyst

View on SEC IAPD

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