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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
AR RA APPROVED 2016-02-23
  • AR RA
    APPROVED
    Since 2016-02-23

Branch Locations

2360 Malvern Avenue Suite E, Hot Springs, AR 71901 • 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
Raymond James Financial Services, Inc Hot Springs AR 08/2014 Present
Raymond James Financial Services Advisors Inc. Hot Springs AR 02/2016 Present
Bobby Brown Private Wealth Advisors Hot Springs AR 08/2014 Present
  • 08/2014 → Present
    Raymond James Financial Services, Inc
    Hot Springs, AR
  • 02/2016 → Present
    Hot Springs, AR
  • 08/2014 → Present
    Bobby Brown Private Wealth Advisors
    Hot Springs, AR
Other Businesses

(1)Name of Business: Bobby Brown Private Wealth Advisors Address: 2360 Malvern Ave Ste E, Hot Springs, AR, 71901, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 08/25/2014 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 21-40 Description of duties: Client relations, office duties, working as team with Branch Manager

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-02-09
  • S66 Uniform Combined State Law Examination
    2016-02-09
Other Names
  • Heather Lynn Gillham

View on SEC IAPD

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