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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-10-02
RI RA APPROVED 2022-01-14
  • TX RA
    APPROVED
    Since 2025-10-02
  • RI RA
    APPROVED
    Since 2022-01-14

Branch Locations

85 Beach Street Unit 17A Bldg D, Westerly, RI 02891 • 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
Edward Jones St Louis MO 09/2016 01/2022
United States Fish And Wildlife Service Charlestown RI 11/2009 09/2016
Raymond James Financial Services Inc Westerly RI 01/2022 Present
Raymond James Financial Services Advisors Westerly RI 01/2022 Present
  • 09/2016 → 01/2022
    St Louis, MO
  • 11/2009 → 09/2016
    United States Fish And Wildlife Service
    Charlestown, RI
  • 01/2022 → Present
    Raymond James Financial Services Inc
    Westerly, RI
  • 01/2022 → Present
    Raymond James Financial Services Advisors
    Westerly, RI
Previous Registrations
  • 2017-01-20 → 2022-01-18
    Charlestown, RI
    Westerly, RI
    Charlestown, RI
    St Louis, MO
    Westerly, RI
Other Businesses

(1)Name of Business: L.E.M.N Investments, LLC. Address: 2 Essex Dr, Westerly, RI, 02891, United States Activity Type: Rental Real Estate Position/Title: Partner Investment Related: Yes Start Date: 11/13/2025 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Collect rental income (2)Name of Business: Sound Financial Partners Address: 31 Crestview Dr Unit 5, Westerly, RI, 02891-2958, United States Activity Type: Support Company - Owner Position/Title: Officer - President Investment Related: No Start Date: 08/08/2024 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: To engage in financial planning and investment management. (3)Name of Business: Sound Financial Planning, LLC Address: 31 Crestview Dr Unit 5, Westerly, RI, 02891-2958, United States Activity Type: Support Company - Owner Position/Title: Officer - CEO Investment Related: No Start Date: 01/14/2022 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Owner/Operator

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-11-21
  • S66 Uniform Combined State Law Examination
    2016-11-21
Designations

View on SEC IAPD

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