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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
HI RA APPROVED 2026-01-12
  • HI RA
    APPROVED
    Since 2026-01-12

Branch Locations

555 South St Ste 102, Honolulu, HI 96813 • 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
Tanaka Ramen & Izakaya Aiea HI 04/2021 10/2023
3 Financial Group Honolulu HI 07/2021 03/2022
Unemployed Honolulu HI 01/2021 03/2021
President Theodore Roosevelt High School Honolulu HI 08/2012 06/2016
Edward Jones St Louis MO 04/2022 01/2026
University Of Hawaii At Manoa Honolulu HI 08/2016 12/2020
T.K. Builders Aiea HI 10/2024 Present
Raymond James Financial Services, Inc. Honolulu HI 01/2026 Present
Raymond James Financial Services Advisors, Inc. Honolulu HI 01/2026 Present
  • 04/2021 → 10/2023
    Tanaka Ramen & Izakaya
    Aiea, HI
  • 07/2021 → 03/2022
    3 Financial Group
    Honolulu, HI
  • 01/2021 → 03/2021
    Unemployed
    Honolulu, HI
  • 08/2012 → 06/2016
    President Theodore Roosevelt High School
    Honolulu, HI
  • 04/2022 → 01/2026
    St Louis, MO
  • 08/2016 → 12/2020
    University Of Hawaii At Manoa
    Honolulu, HI
  • 10/2024 → Present
    T.K. Builders
    Aiea, HI
  • 01/2026 → Present
    Raymond James Financial Services, Inc.
    Honolulu, HI
  • 01/2026 → Present
    Honolulu, HI
Previous Registrations
  • 2024-12-23 → 2026-01-13
    Honolulu, HI
    Honolulu, HI
    Aiea, HI
    St Louis, MO
    Aiea, HI
Other Businesses

(1)Name of Business: Ning Wealth Management LLC Address: 555 South St Apt 102, Honolulu, HI, 96813-5037, United States Activity Type: Support Company - Owner Position/Title: Officer - President Investment Related: No Start Date: 01/12/2026 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 41+ Description of duties: Owner/Financial Advisor (2)Name of Business: Pulse Wave Private Wealth Address: 555 South St Apt 102, Honolulu, HI, 96813-5037, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 01/12/2026 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Independent Financial Advisor with Raymond James (3)Name of Business: The First Chinese Church of Christ in Hawaii Address: 1054 S King St, Honolulu, HI, 96814, United States Activity Type: Non profit Position/Title: Finance/Investment Committee Member Investment Related: Yes Start Date: 05/15/2025 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Provide advice to the board on how to manage the funds that the church has.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-12-23
  • S66 Uniform Combined State Law Examination
    2024-12-23
Other Names
  • Shuqi Li

View on SEC IAPD

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