Polly Duns Small

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2015 → Present
  Raymond James Financial Services Inc
  Mentor, OH
• 05/2022 → Present
  Raymond James Financial Services Advisors, Inc.
  Mentor, OH
• 04/2017 → 03/2025
  Carver Financial
  Mentor, OH
• 01/2025 → Present
  Cfs, Llc
  Mentor, OH

Other Businesses

(1)Name of Business: CFS, LLC Address: 7473 Center St, Mentor, OH, 44060-5803, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 01/01/2025 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Sales Assistant

Exams

• S63 Uniform Securities Agent State Law Examination
  2019-06-11

Designations

• Chartered Financial Consultant