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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
TX RA APPROVED 2016-08-22
  • TX RA
    APPROVED
    Since 2016-08-22

Branch Locations

5252 Westchester Street Suite 118, Houston, TX 77005 • 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
Raymond James Financial Services, Inc. Houston TX 08/2016 Present
Raymond James Financial Services Advisors, Inc. Houston TX 08/2016 Present
Previous Registrations
Other Businesses

(1)Name of Business: Centre Wealth Management Address: 5252 Westchester St Ste 118, Houston, TX, 77005, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 11/16/2017 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Financial Advisor/ Branch Manager

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1999-03-18
  • S63 Uniform Securities Agent State Law Examination
    1999-03-18

View on SEC IAPD

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