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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2015-01-21 |
Branch Locations
4165 East Thousand Oaks Blvd Suite 255, Westlake Village, CA 91362 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James Financial Services, Inc. | Westlake Village | CA | 01/2015 | Present |
| Raymond James Financial Services Advisors Inc. | Westlake Village | CA | 01/2015 | Present |
| Dahlstrum Financial | Westlake Village | CA | 11/2017 | Present |
(1)Name of Business: 401k Mini-Guide Address: 4165 E Thousand Oaks Blvd, Westlake Village, CA, 91362, United States Activity Type: Other Position/Title: Author Investment Related: Yes Start Date: 10/25/2017 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Author and publisher through Amazon. (2)Name of Business: Dahlstrum Financial Address: 4165 E Thousand Oaks Blvd Ste 255, Westlake Village, CA, 91362, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 11/14/2017 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Admin and FA
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2015-01-13 |
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