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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2019-09-20 |
| TX | RA | APPROVED | 2019-09-20 |
Branch Locations
9200 Montgomery Road Unit 12A, Cincinnati, OH 45242 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Financial Network Llc | Cincinnati | OH | 06/2009 | 09/2019 |
| Raymond James Financial Services, Inc. | Cincinnati | OH | 09/2019 | Present |
| Raymond James Financial Services Advisors, Inc. | Cincinnati | OH | 09/2019 | Present |
(1)Name of Business: Cooper Financial Management LTD., LLC Address: 9200 Montgomery Rd Ste 12A, Cincinnati, OH, 45242, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 09/23/2019 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I pay bills for the office via Cooper Financial Management LTD., LLC. (2)Name of Business: Robertshaw Capital Group Address: 9200 Montgomery Rd., Cincinnati, OH, 45242, United States Activity Type: Support Company - Owner Position/Title: Officer - CEO Investment Related: No Start Date: 11/12/2021 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: This is the DBA name for our wealth management practice under the banner of Raymond James. The name, Robertshaw Capital Group, was approved by compliance and legal when we can to Raymond James on 9/20/2019. I was not aware that this was viewed as an OBA until now.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-10-07 |
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