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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
NH RA APPROVED 2009-06-29
  • NH RA
    APPROVED
    Since 2009-06-29

Branch Locations

60 Main Street Suite 215, Nashua, NH 03060 • 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 Nashua NH 06/2009 Present
Raymond James Financial Services Advisors, Inc Nashua NH 06/2009 Present
Previous Registrations
  • 2009-06-01 → 2009-06-30
    Manchester, NH
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Manchester, NH
    Nashua, NH
  • 2006-05-25 → 2007-04-02
    Morgan Stanley Dw Inc.
    Nashua, NH
  • 1999-02-23 → 2006-05-30
    Nashua, NH
Other Businesses

(1)Name of Business: Address: 49 Canal Street Nashua NH 03060, Nashua, NH, 03060, United States Activity Type: Non-variable Insurance Position/Title: Other Investment Related: Yes Start Date: 09/23/2009 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Local Insurance agent handles medical plan I handle dental plan (2)Name of Business: Bishop Guertin High School Address: 194 Lund Road , Nashua, NH, 03060, United States Activity Type: Board Member, Board Subcommittee Member, Officer, or Director Position/Title: Finance/Investment Committee Member, Other Investment Related: Yes Start Date: 09/23/2009 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Review school budget and investment programs managed by outside investment manager and also member of golf committee planning the event. This is a non-profit private school. In type of organization below they do not have this as a choice. (3)Name of Business: D&G Services LLC Address: 89 Brody Lane, Hudson, NH, 03051, United States Activity Type: Real Estate Brokerage/ Agent or Development Position/Title: Investment Related: No Start Date: 10/12/2022 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: (4)Name of Business: GCP Financial Services, LLC Address: Branch 8NQ, Nashua, NH, 03060, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 07/16/2009 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Owner of Support company (5)Name of Business: NA Address: client business, Nashua, NH, 03060, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 07/11/2011 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Life Insurance Sales (6)Name of Business: NA Address: Client Business, Nashua, NH, 03060, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: No Start Date: 09/25/2009 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Life Insurance Sales and/or service

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-05-07
S63 Uniform Securities Agent State Law Examination 1983-08-04
  • S65 Uniform Investment Adviser Law Examination
    1997-05-07
  • S63 Uniform Securities Agent State Law Examination
    1983-08-04
Other Names
  • Clarke-Pounder
  • Ian Garry Clarkepounder

View on SEC IAPD

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