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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
TX RA APPROVED_RES 2019-06-11
CO RA APPROVED 2019-06-03
  • TX RA
    APPROVED_RES
    Since 2019-06-11
  • CO RA
    APPROVED
    Since 2019-06-03

Branch Locations

5299 Dtc Blvd Suite 210, Greenwood Village, CO 80111 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Morgan Stanley Springfield MO 03/2014 11/2016
Morgan Stanley Private Bank, National Association New York NY 01/2015 11/2016
Bridgerock Capital, Llc Greenwood Village CO 01/2019 06/2022
B.B. Graham And Company Orange CA 06/2017 06/2019
Raymond James Financial Services,Inc Castle Rock CO 06/2019 Present
Raymond James Financial Services, Advisors Castle Rock CO 06/2019 Present
Bridgerock Capital, Llc Springfield MO 01/2017 01/2019
  • 03/2014 → 11/2016
    Springfield, MO
  • 01/2015 → 11/2016
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 01/2019 → 06/2022
    Bridgerock Capital, Llc
    Greenwood Village, CO
  • 06/2017 → 06/2019
    B.B. Graham And Company
    Orange, CA
  • 06/2019 → Present
    Raymond James Financial Services,Inc
    Castle Rock, CO
  • 06/2019 → Present
    Raymond James Financial Services, Advisors
    Castle Rock, CO
  • 01/2017 → 01/2019
    Bridgerock Capital, Llc
    Springfield, MO
Previous Registrations
  • 2017-01-20 → 2019-06-03
    Bridgerock Capital, Llc
    Arvada, CO
    Arvada, CO
  • 2014-03-07 → 2016-12-16
    Springfield, MO
  • 2013-10-21 → 2014-03-10
    St Louis, MO
    Springfield, MO
    Springfield, MO
Other Businesses

(1)Name of Business: Bridgerock Capital LLC Address: 5299 Dtc Blvd Ste 210, Greenwood Village, CO, 80111, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 01/01/2019 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 2-10 Description of duties: I'm a full time financial advisor and branch manager for Raymond James. Bridgerock Capital LLC is an LLC used only for the purpose of paying my employees including myself and operating my business expenses through.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-10-19
  • S66 Uniform Combined State Law Examination
    2013-10-19
Other Names
  • Christopher Gregory Delong
  • Chris Delong
  • Chris Gregory Delong

View on SEC IAPD

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