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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
IN RA APPROVED 2009-01-02
  • IN RA
    APPROVED
    Since 2009-01-02

Branch Locations

245 West Edison Suite 100 / Ll Edison Centre Building, Mishawaka, IN 46545 • 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. Mishawaka IN 01/1999 Present
Raymond James Financial Services Advisors, Inc Mishawaka IN 01/2009 Present
Hawthorne Group, Inc Mishawaka IN 01/2024 Present
Other Businesses

`(1)Name of Business: Hawthorne Group, Inc Address: 245 W Edison Rd Ste 100, Mishawaka, IN, 46545, United States Activity Type: Support Company - Owner Position/Title: Officer - Vice President, Officer - Treasurer Investment Related: No Start Date: 01/01/2024 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Operations at the brokerage branch (2)Name of Business: Hawthorne Group, Inc Address: 245 W Edison Rd Ste 100, Mishawaka, IN, 46545-8305, United States Activity Type: Support Company - Owner Position/Title: Officer - Vice President, Officer - Treasurer Investment Related: No Start Date: 01/01/2024 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Administer the expenses of operating the branch

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1980-02-15
  • S63 Uniform Securities Agent State Law Examination
    1980-02-15
Other Names
  • Kenneth A Kobek

View on SEC IAPD

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