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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 2016-08-18
  • PA RA
    APPROVED
    Since 2016-08-18

Branch Locations

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

Disclosures

2 disclosure categories 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 Yes
  • 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 08/2016 Present
Previous Registrations
Other Businesses

(1) Name of Business: Exeter Borough Council Address: 404 Daisy Court, Exeter, PA, 18643, United States Activity Type: Political Office/Activity Position/Title: Investment Related: No Start Date: 08/05/2016 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: (2) Name of Business: hjfs wolfe llc Address: 404 Daisy Court, Exeter, PA, 18643, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 08/01/2016 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: GENERAL PARTNER (3) Name of Business: Luzerne County Community College Address: College Ave., Nanticoke, PA, 18634, United States Activity Type: Non profit Position/Title: Board Member, Finance/Investment Committee Member, Executive Member, Committee Member Investment Related: Yes Start Date: 02/23/2022 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I will be appointed to the Board of Directors of Luzerne County Community College. I will have only administrative oversigh

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2005-01-17
S65 Uniform Investment Adviser Law Examination 1992-10-20
  • S63 Uniform Securities Agent State Law Examination
    2005-01-17
  • S65 Uniform Investment Adviser Law Examination
    1992-10-20

View on SEC IAPD

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