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Current Employers
Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2017-07-10
TX RA APPROVED 2017-07-07
  • CA RA
    APPROVED
    Since 2017-07-10
  • TX RA
    APPROVED
    Since 2017-07-07

Branch Locations

2152 E Copper Ave Suite 105A, Fresno, CA 93730 • 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
Lpl Financial, Llc Fresno CA 05/2006 07/2017
Raymond James Financial Services, Inc. Fresno CA 07/2017 Present
Raymond James Financial Services Advisors Inc. Fresno CA 07/2017 Present
Stanton & Castleton, Inc. Fresno CA 12/2017 Present
Previous Registrations
Other Businesses

(1)Name of Business: Stanton & Castleton, Inc. Address: 2152 E Copper Ave Ste 105A, Fresno, CA, 93730, United States Activity Type: Support Company - Non Owner Position/Title: Independent Contractor Investment Related: No Start Date: 12/01/2017 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: N/A (2)Name of Business: Sunnyside Country Club - Finance Committee Address: 5704 E. Butler Ave, Fresno, CA, 93727, United States Activity Type: Board Member, Board Subcommittee Member, Officer, or Director Position/Title: Committee Member Investment Related: Yes Start Date: 01/01/2022 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Attend monthly committee meetings where we review the financials of each department for the previous month, quarter, year and years. Identify and discuss cost savings as well as future expenditures.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-07-28
S63 Uniform Securities Agent State Law Examination 2006-06-28
  • S66 Uniform Combined State Law Examination
    2006-07-28
  • S63 Uniform Securities Agent State Law Examination
    2006-06-28
Other Names
  • Holly Caroline Cornell
  • Holly Carolin Bare

View on SEC IAPD

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