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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
CA RA APPROVED 2021-02-23
UT RA APPROVED 2012-10-16
HI RA APPROVED 2009-01-02
TX RA APPROVED 2009-01-02
  • CA RA
    APPROVED
    Since 2021-02-23
  • UT RA
    APPROVED
    Since 2012-10-16
  • HI RA
    APPROVED
    Since 2009-01-02
  • TX RA
    APPROVED
    Since 2009-01-02

Branch Locations

1160 Battery St Fl 1 E, San Francisco, CA 94111 • 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. Honolulu HI 01/1999 Present
Raymond James Financial Services Advisors, Inc Honolulu HI 01/2009 Present
Other Businesses

(1)Name of Business: Address: 1948 alaeloa st, honolulu, HI, 96821, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 04/27/2011 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: i am a board member that helps to make decisions regarding the up keep of the building (2)Name of Business: elevon wealth management Address: 1948 alaeloa street, honolulu, HI, 96821, United States Activity Type: Support Company - Non Owner Position/Title: Independent Contractor Investment Related: No Start Date: 12/21/2020 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: financial advisor

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-03-04
S63 Uniform Securities Agent State Law Examination 1981-02-20
  • S66 Uniform Combined State Law Examination
    2005-03-04
  • S63 Uniform Securities Agent State Law Examination
    1981-02-20

View on SEC IAPD

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