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Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 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 Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2009-01-02
  • IN RA
    APPROVED
    Since 2009-01-02

Branch Locations

245 West Edison Suite 100, Ll Edison Centre Building, Mishawaka, IN 46545 • 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
OrganizationCityStateFromTo
Raymond James Financial Services, Inc. Mishawaka IN 03/1995 Present
Brenda Bickel South Bend IN 09/1987 Present
Hawthorne Group Inc Mishawaka IN 03/1995 03/2019
Raymond James Financial Services Advisors, Inc Mishawaka IN 01/2009 Present
N/A - Bookkeeping Service Mishawaka IN 01/2015 06/2018
Hawthorne Group Inc Mishawaka IN 01/2024 Present
  • 03/1995 → Present
    Raymond James Financial Services, Inc.
    Mishawaka, IN
  • 09/1987 → Present
    Brenda Bickel
    South Bend, IN
  • 03/1995 → 03/2019
    Hawthorne Group Inc
    Mishawaka, IN
  • 01/2009 → Present
    Mishawaka, IN
  • 01/2015 → 06/2018
    N/A - Bookkeeping Service
    Mishawaka, IN
  • 01/2024 → Present
    Hawthorne Group Inc
    Mishawaka, IN
Other Businesses

(1)Name of Business: Hawthorne Group Inc Address: 245 W Edison Rd Ste 100, Mishawaka, IN, 46545, United States Activity Type: Support Company - Owner Position/Title: Officer - President, Officer - Secretary Investment Related: No Start Date: 01/01/2024 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Administration and operation of the Support Company (2)Name of Business: YWCA of North Central Indiana Address: 1102 S Fellows St, South Bend, IN, 46601, United States Activity Type: Non profit Position/Title: Finance/Investment Committee Member Investment Related: Yes Start Date: 08/18/2021 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Attending 1 hour meetings once a month to review the financial statements, financial policies and the committee makes recommendations to the Board of Directors concerning finances

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-04-08
S63 Uniform Securities Agent State Law Examination 1984-12-11
  • S65 Uniform Investment Adviser Law Examination
    1993-04-08
  • S63 Uniform Securities Agent State Law Examination
    1984-12-11

View on SEC IAPD

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