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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
TN RA APPROVED 2021-03-10
TX RA APPROVED 2021-01-15
NC RA APPROVED 2020-12-24
  • TN RA
    APPROVED
    Since 2021-03-10
  • TX RA
    APPROVED
    Since 2021-01-15
  • NC RA
    APPROVED
    Since 2020-12-24

Branch Locations

114 Commerce Center Loop Suite E, Mooresville, NC 28117 • United States

1705 Eastside Ave, Nashville, TN 37206 • 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
Fs2 Investment Solutions, Llc Nashville TN 08/2016 08/2020
Raymond James Financial Services, Inc. Mooresville NC 12/2020 Present
Unemployed Nashville TN 08/2020 12/2020
Raymond James Financial Services Advisors, Inc. Mooresville NC 12/2020 Present
  • 08/2016 → 08/2020
    Fs2 Investment Solutions, Llc
    Nashville, TN
  • 12/2020 → Present
    Raymond James Financial Services, Inc.
    Mooresville, NC
  • 08/2020 → 12/2020
    Unemployed
    Nashville, TN
  • 12/2020 → Present
    Mooresville, NC
Other Businesses

(1)Name of Business: RTH Wealth Management LLC Address: 114 Commerce Center Loop, Ste E., Mooresville, NC, 28117, United States Activity Type: Support Company - Non Owner Position/Title: Officer - CEO Investment Related: No Start Date: 01/01/2021 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 21-40 Description of duties: Financial Advisor

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-11-13
S63 Uniform Securities Agent State Law Examination 2010-03-05
  • S66 Uniform Combined State Law Examination
    2020-11-13
  • S63 Uniform Securities Agent State Law Examination
    2010-03-05
Other Names
  • Ryan Hillary

View on SEC IAPD

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