Ranald Kim Nicholas

Current Employers

Raymond James Financial Services Advisors, Inc

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

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2009-01-02

CT RA
APPROVED

Since 2009-01-02

Branch Locations

Torrington, CT • United States

70 East Main St. Suite 5, Avon, CT 06001 • 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

Organization	City	State	From	To
Raymond James Financial Services, Inc.	Avon	CT	10/2004	Present
Raymond James Financial Services Advisors, Inc	Avon	CT	01/2009	Present

10/2004 → Present

Raymond James Financial Services, Inc.

Avon, CT
01/2009 → Present

Raymond James Financial Services Advisors, Inc

Avon, CT

Previous Registrations

2004-05-19 → 2004-10-08

Prestige Wealth Management Group, Llc

Pennington, NJ
2004-04-28 → 2004-07-13

Lpl Financial Llc

Pennington, NJ
2003-02-26 → 2004-03-25

American Skandia Advisory Services, Inc.

Shelton, CT

Other Businesses

(1)Name of Business: The Investors Center, Inc. Address: 70 E Main St, Avon, CT, 06001, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 04/01/2014 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Branch Professional

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-03-29
S63	Uniform Securities Agent State Law Examination	1997-07-11

S65 Uniform Investment Adviser Law Examination

2001-03-29
S63 Uniform Securities Agent State Law Examination

1997-07-11

Designations

Other Names

R Kim Nicholas

View on SEC IAPD