Richard Charles Sauerman

Current Employers

Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2024-09-25
VA	RA	APPROVED	2023-07-20
CA	RA	APPROVED	2023-07-19
GA	RA	APPROVED	2023-06-14

FL RA
APPROVED

Since 2024-09-25
VA RA
APPROVED

Since 2023-07-20
CA RA
APPROVED

Since 2023-07-19
GA RA
APPROVED

Since 2023-06-14

Branch Locations

Miami, FL • United States

3414 Peachtree Rd Ne Suite 550, Atlanta, GA 30326 • 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
Nfp Retirement	Aliso Viejo	CA	07/2016	06/2023
Raymond James & Associates	Atlanta	GA	06/2023	Present

07/2016 → 06/2023

Nfp Retirement

Aliso Viejo, CA
06/2023 → Present

Raymond James & Associates

Atlanta, GA

Previous Registrations

2016-12-01 → 2023-06-29

Wealthspire Retirement Advisory

Atlanta, GA

Aliso Viejo, CA

Atlanta, GA

Other Businesses

1) Business Name; RCS Dressage LLC, Horse Training Institution 100% Owner 10-15 hours per week, NOT BUSINESS Related, no conflict of interest, no compansationn received

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2024-07-01
S65	Uniform Investment Adviser Law Examination	2016-12-01

S63 Uniform Securities Agent State Law Examination

2024-07-01
S65 Uniform Investment Adviser Law Examination

2016-12-01

Other Names

Richard Sauerman
Richard Charles Sauerman
Rick Sauerman

View on SEC IAPD