Rosa Maria Ebling

Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 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 & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2017-07-28

IL RA
APPROVED

Since 2017-07-28

Branch Locations

120 S Riverside Plaza Suite 700, Chicago, IL 60606 • 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

Organization	City	State	From	To
Robert W. Baird	Chicago	IL	11/2007	07/2017
Raymond James & Associates	Chicago	IL	07/2017	Present

11/2007 → 07/2017

Robert W. Baird

Chicago, IL
07/2017 → Present

Raymond James & Associates

Chicago, IL

Previous Registrations

2007-11-23 → 2017-08-10

Robert W. Baird & Co. Incorporated

Chicago, IL
2005-09-09 → 2007-11-27

William Blair

Chicago, IL

Chicago, IL

Chicago, IL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-09-08
S63	Uniform Securities Agent State Law Examination	1983-09-20

S65 Uniform Investment Adviser Law Examination

2005-09-08
S63 Uniform Securities Agent State Law Examination

1983-09-20

Other Names

Rosa Carretti Ebling
Rosa Carretti Ebling

View on SEC IAPD