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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2016-09-28
  • PA RA
    APPROVED
    Since 2016-09-28

Branch Locations

200 Abington Executive Park, Clarks Summit, PA 18411 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James Financial Services, Inc. Clarks Summit PA 08/2016 Present
Raymond James Financial Services Advisors Inc. Clarks Summit PA 09/2016 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1980-10-07
  • S63 Uniform Securities Agent State Law Examination
    1980-10-07
Other Names
  • Rosemary K Caffrey
  • Rosemary Knight

View on SEC IAPD

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