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Raymond James Financial Services Advisors, Inc CRD 149018
$390B regulatory AUM 5,542 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-05-01 |
| TX | RA | APPROVED | 2025-05-01 |
Branch Locations
200 Summit Lake Drive Suite 360, Valhalla, NY 10595 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Llc | Valhalla | NY | 05/2022 | 05/2025 |
| Spirit Capital Management, Inc. | Thornwood | NY | 09/2012 | Present |
| Raymond James Financial Services, Inc. | Valhalla | NY | 05/2025 | Present |
| Raymond James Financial Services Advisors, Inc. | Valhalla | NY | 05/2025 | Present |
(1) Name of Business: Spirit Capital Management, Inc. Address: 855 Warren Ave, Thornwood, NY, 10594, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 09/01/2012 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Management consulting business that is being wound down. There are no business operations anymore, but the entity still exists as it winds down, i.e. incurs expenses such as legal and accounting. (2)Name of Business: QuantumView Wealth Management Address: 200 Summit Lake Dr Ste 360, Valhalla, NY 10595-1338 Activity Type: Support Company - Non Owner Position Title: Associate/Employee Investment Related: No Start Date: 5/1/2025 Hours per month devoted to this business during trading hours: 41+ Description of duties: Financial advisor and investment analyst for wealth management of individual and institutional wealth management client accounts.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2023-05-01 |
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