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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
CA RA APPROVED 2022-01-07
  • CA RA
    APPROVED
    Since 2022-01-07

Branch Locations

19200 Von Karman Ave Suite 370, Irvine, CA 92657 • 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
Purshe Kaplan Sterling Investments Albany NY 09/2017 04/2018
Crosspoint Financial Tustin CA 03/2017 04/2018
Ameriprise Financial Minneapolis MN 07/2014 03/2017
Cal State Fullerton Fullerton CA 08/2013 01/2017
Raymond James Financial Services Irvine CA 08/2020 Present
Geneos Wealth Management Inc Irvine CA 04/2018 08/2020
Ihss Midway City CA 09/2017 Present
Raymond James Financial Advisory Services Irvine CA 08/2020 Present
  • 09/2017 → 04/2018
    Purshe Kaplan Sterling Investments
    Albany, NY
  • 03/2017 → 04/2018
    Crosspoint Financial
    Tustin, CA
  • 07/2014 → 03/2017
    Ameriprise Financial
    Minneapolis, MN
  • 08/2013 → 01/2017
    Cal State Fullerton
    Fullerton, CA
  • 08/2020 → Present
    Raymond James Financial Services
    Irvine, CA
  • 04/2018 → 08/2020
    Geneos Wealth Management Inc
    Irvine, CA
  • 09/2017 → Present
    Ihss
    Midway City, CA
  • 08/2020 → Present
    Raymond James Financial Advisory Services
    Irvine, CA
Other Businesses

(1) Silversage Advisors DBA/Support 04/08/2018- present Irvine, CA 92612 40 hours per week Investment related Registered Sales Assistant

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-12-30
  • S66 Uniform Combined State Law Examination
    2021-12-30

View on SEC IAPD

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