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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 2019-01-03
SD RA APPROVED 2014-03-27
  • TX RA
    APPROVED_RES
    Since 2019-01-03
  • SD RA
    APPROVED
    Since 2014-03-27

Branch Locations

101 North Main Avenue Suite 201, Sioux Falls, SD 57104 • 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
First Dakota National Bank Sioux Falls SD 11/2013 Present
Raymond James Financial Services, Inc. Sioux Falls SD 03/2014 Present
Raymond James Financial Services Advisors Inc. Sioux Falls SD 03/2014 Present
Loft Advisors Sioux Falls SD 11/2013 Present
  • 11/2013 → Present
    First Dakota National Bank
    Sioux Falls, SD
  • 03/2014 → Present
    Raymond James Financial Services, Inc.
    Sioux Falls, SD
  • 03/2014 → Present
    Sioux Falls, SD
  • 11/2013 → Present
    Loft Advisors
    Sioux Falls, SD
Other Businesses

(1)Name of Business: First Dakota National Bank Address: 101 N Main Ave Ste 201, Sioux Falls, SD, 57104, United States Activity Type: Bank or Credit Union Associate Position/Title: Associate/Employee Investment Related: Yes Start Date: 11/22/2013 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Financial Advisor (2)Name of Business: Loft Advisors Address: 101 N Main Ave Ste 201, Sioux Falls, SD, 57104, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 11/22/2013 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Financial Advising

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-03-21
  • S66 Uniform Combined State Law Examination
    2014-03-21

View on SEC IAPD

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