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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2021-06-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Bank, Na | Tucson | AZ | 12/2012 | 11/2017 |
| Wells Fargo Clearing Services, Llc | Tucson | AZ | 11/2016 | 11/2017 |
| Sunglass Hut | Tucson | AZ | 08/2016 | 01/2017 |
| U.S. Bancorp Investments, Inc. | Sun City | AZ | 10/2017 | 09/2019 |
| Wells Fargo Clearing Services, Llc | Sun Lakes | AZ | 09/2019 | 06/2021 |
| Raymond James Financial Services, Inc | Scottsdale | AZ | 06/2021 | Present |
| Raymond James Financial Services Advisors, Inc. | Scottsdale | AZ | 06/2021 | Present |
| Desert Financial Credit Union | Sun City | AZ | 06/2021 | Present |
| Desert Financial Wealth Management | Scottsdale | AZ | 04/2021 | Present |
| Desert Financial Credit Union | Scottsdale | AZ | 04/2021 | Present |
(1) Name of Business: Desert Financial Credit Union Address: 10725 Grand ave , Sun City , AZ, 85351, United States Activity Type: Bank or Credit Union Associate Position/Title: Associate/Employee Investment Related: Yes Start Date: 04/29/2021 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41-80 Description of duties: Advisor (2) Name of Business: Desert Financial Credit Union Address: 13875 N Northsight Blvd, Scottsdale, AZ, 85260, United States Activity Type: Bank or Credit Union Associate Position/Title: Associate/Employee Investment Related: Yes Start Date: 06/06/2021 Hours per month devoted to this business: 21-40 Hours per month devoted to this business during trading hours: 11-20 Description of duties: Affiliate, (3) Name of Business: Desert Financial Wealth Management Address: 13875 N Northsight Blvd, Scottsdale, AZ, 85260, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 04/29/2021 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41-80 Description of duties: Advisor
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-01-07 |
| S63 | Uniform Securities Agent State Law Examination | 2017-02-21 |
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