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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
PA RA APPROVED 2009-01-02
  • PA RA
    APPROVED
    Since 2009-01-02

Branch Locations

101 Masonic Drive, Elizabethtown, PA 17022 • 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 Yes
  • 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 Elizabethtown PA 02/2006 Present
Raymond James Financial Services Advisors, Inc Elizabethtown PA 01/2009 Present
Previous Registrations
  • 2004-01-05 → 2006-02-15
    Cetera Investment Services Llc
    Lebanon, PA
Other Businesses

(1)Name of Business: DDMP Investment Advisors, LLC Address: 101 Masonic Drive, Elizabethtown, PA, 17022, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 07/01/2006 Hours per month devoted to this business: 21-40 Hours per month devoted to this business during trading hours: 21-40 Description of duties: Branch Manager/ Financial Advisor (2)Name of Business: DDMP Investment Advisors, LLC Address: 101 Masonic Drive, Elizabethtown, PA, 17022, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 03/01/2013 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Non-variable life insurance

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-08-15
S63 Uniform Securities Agent State Law Examination 1992-12-04
  • S65 Uniform Investment Adviser Law Examination
    2003-08-15
  • S63 Uniform Securities Agent State Law Examination
    1992-12-04
Designations
  • Certified Financial Planner

View on SEC IAPD

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