Best Investors Account Sign in
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
CA RA APPROVED 2023-05-09
ID RA APPROVED 2019-09-23
  • CA RA
    APPROVED
    Since 2023-05-09
  • ID RA
    APPROVED
    Since 2019-09-23

Branch Locations

Sacramento, CA • United States

1011 Sunset Blvd Suite 210, Rocklin, CA 95765 • 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
Us Bank Sacramento CA 04/2013 02/2017
U.S Bancorp Investments, Inc. Sacramento CA 02/2017 10/2018
Wells Fargo Meridian ID 10/2018 06/2019
Raymond James Financial Services, Inc Rocklin CA 09/2019 Present
Raymond James Financial Services Advisors Rocklin CA 09/2019 Present
First Tech Federal Credit Union Rocklin CA 09/2019 Present
Addison Avenue Investment Services, A Division Of Ftfcu Rocklin CA 09/2019 Present
  • 04/2013 → 02/2017
    Us Bank
    Sacramento, CA
  • 02/2017 → 10/2018
    U.S Bancorp Investments, Inc.
    Sacramento, CA
  • 10/2018 → 06/2019
    Wells Fargo
    Meridian, ID
  • 09/2019 → Present
    Raymond James Financial Services, Inc
    Rocklin, CA
  • 09/2019 → Present
    Raymond James Financial Services Advisors
    Rocklin, CA
  • 09/2019 → Present
    First Tech Federal Credit Union
    Rocklin, CA
  • 09/2019 → Present
    Addison Avenue Investment Services, A Division Of Ftfcu
    Rocklin, CA
Previous Registrations
Other Businesses

(1)Name of Business: Addison Avenue Investment Services, a division of FTFCU Address: 1011 Sunset Blvd, Suite 210, Rocklin, CA, 95765, United States Activity Type: Support Company - Non Owner Position/Title: Client Services Specialist Investment Related: Yes Start Date: 09/09/2019 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Financial Assistant. Assists Financial advisors with administrative tasks (2)Name of Business: First Tech Federal Credit Union Address: 1011 Sunset Blvd, Suite 210, Rocklin, CA, 95765, United States Activity Type: Bank or Credit Union Associate Position/Title: Client Services Specialist Investment Related: Yes Start Date: 09/09/2019 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Financial Assistant. Assists Financial advisors with administrative and all other requests.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-01-31
S63 Uniform Securities Agent State Law Examination 2017-11-30
  • S65 Uniform Investment Adviser Law Examination
    2019-01-31
  • S63 Uniform Securities Agent State Law Examination
    2017-11-30
Other Names
  • Kirk Edwin Buber
  • Kirk Buber
  • Kirk E Buber

View on SEC IAPD

More in Sacramento, CA

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor