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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-11-19
  • CA RA
    APPROVED
    Since 2018-11-19

Branch Locations

555 University Avenue Suite 120, Sacremento, CA 95825 • United States

Sacramento, CA • 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James Financial Services, Inc. Sacramento CA 01/1999 Present
Douglas E. Macrae, Independent Ria Sacramento CA 03/1995 Present
Raymond James Financial Services Advisors Inc. Sacremento CA 11/2018 Present
Previous Registrations
Other Businesses

Raymond James Financial Services, Inc., Investment related, a full service broker-dealer, Registered Principal, 555 University Ave, Suite 120, Sacramento, CA; start date 01/1993; approx. 120 hrs per month, 6-8 hrs. per day. The duties performed are the same as those of my RIA and are not separate from them.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-11-08
S63 Uniform Securities Agent State Law Examination 1986-12-05
  • S65 Uniform Investment Adviser Law Examination
    2018-11-08
  • S63 Uniform Securities Agent State Law Examination
    1986-12-05

View on SEC IAPD

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