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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2023-05-03
  • FL RA
    APPROVED
    Since 2023-05-03

Branch Locations

6550 N Federal Highway Suite 505, Fort Lauderdale, FL 33308 • 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
Ameriprise Financial Services, Inc. Ft Lauderdale FL 06/2015 04/2023
Raymond James Financial Services, Inc. Fort Lauderdale FL 04/2023 Present
Raymond James Financial Services Advisors, Inc Fort Lauderdale FL 04/2023 Present
Leeward Financial Group Ft Lauderdale FL 04/2023 Present
  • 06/2015 → 04/2023
    Ameriprise Financial Services, Inc.
    Ft Lauderdale, FL
  • 04/2023 → Present
    Raymond James Financial Services, Inc.
    Fort Lauderdale, FL
  • 04/2023 → Present
    Fort Lauderdale, FL
  • 04/2023 → Present
    Leeward Financial Group
    Ft Lauderdale, FL
Previous Registrations
Other Businesses

(1)Name of Business: LEEWARD FINANCIAL GROUP Address: 6550 n federal hwy ste 505, ft lauderdale, FL, 33308, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 04/28/2023 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41-80 Description of duties: Administrative.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-12-15
S63 Uniform Securities Agent State Law Examination 2014-01-13
  • S66 Uniform Combined State Law Examination
    2014-12-15
  • S63 Uniform Securities Agent State Law Examination
    2014-01-13
Other Names
  • Doreen Haller Gest
  • Doreen Anne Haller

View on SEC IAPD

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