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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 2009-05-14
TX RA APPROVED_RES 2009-01-02
  • FL RA
    APPROVED
    Since 2009-05-14
  • TX RA
    APPROVED_RES
    Since 2009-01-02

Branch Locations

2 N Tamiami Trail Suite 600, Sarasota, FL 34236 • 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, Inc Sarasota FL 10/2005 Present
Raymond James Financial Services Advisors, Inc Sarasota FL 01/2009 Present
Rosnack Financial Group, Inc. Sarasota FL 10/2005 Present
Previous Registrations
Other Businesses

(1)Name of Business: Linda's Simple IRA; Richie Rosnack Address: 111 S. Pineapple Ave, # 1207, sarasota, FL, 34236, United States Activity Type: Control Person Position/Title: Guardian (Acting) Investment Related: Yes Start Date: 11/09/2018 Hours per month devoted to this business: 21-40 Hours per month devoted to this business during trading hours: 0-1 Description of duties: oversee his well being as guardian/parent (2)Name of Business: Rosnack Financial Group, Inc. Address: 2 N Tamiami Trl Ste 600, Sarasota, FL, 34231, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 10/04/2005 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Owner and manager.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-06-07
S63 Uniform Securities Agent State Law Examination 1989-06-09
  • S65 Uniform Investment Adviser Law Examination
    1997-06-07
  • S63 Uniform Securities Agent State Law Examination
    1989-06-09
Designations
Other Names
  • Rick John Rosnack
  • Richard J Rosnack

View on SEC IAPD

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