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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2009-01-02
WA RA APPROVED 2009-01-02
  • TX RA
    APPROVED_RES
    Since 2009-01-02
  • WA RA
    APPROVED
    Since 2009-01-02

Branch Locations

1919 N. Pearl Street Unit B-1, Tacoma, WA 98406 • 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. Tacoma WA 10/2003 Present
Raymond James Financial Services Advisors, Inc Tacoma WA 01/2009 Present
Previous Registrations
Other Businesses

(1) Name of Business: The Commerce Compnay Address: 1919 N Pearl St Ste B1, Tacoma, WA, 98406, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 10/02/2019 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Financial Advisor

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1986-08-29
  • S63 Uniform Securities Agent State Law Examination
    1986-08-29
Other Names
  • Joseph Christophe Curiel

View on SEC IAPD

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