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Raymond James Financial Services Advisors, Inc CRD 149018
$390B regulatory AUM 5,542 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2022-05-23 |
| IN | RA | APPROVED | 2022-05-16 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| U.S. Bank | Nashville | TN | 07/2015 | 04/2022 |
| U.S. Bancorp Investments, Inc. | Nashville | TN | 02/2017 | 04/2022 |
| Raymond James Financial Services Inc | Louisville | KY | 04/2022 | Present |
| Raymond James Financial Services Advisors | Louisville | KY | 04/2022 | Present |
| Stock Yards Bank & Trust | Louisville | KY | 04/2022 | Present |
Name of Business: Stock Yards Investment Services Address: 1040 E Main St, Louisville, KY, 40206-1856, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 04/18/2022 Hours per month devoted to this business: 41+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Offering investments to Stock Yards Bank clients through Raymond James platform.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-02-13 |
| S63 | Uniform Securities Agent State Law Examination | 2017-03-28 |
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