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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 2019-11-12
WA RA APPROVED 2019-10-25
  • TX RA
    APPROVED
    Since 2019-11-12
  • WA RA
    APPROVED
    Since 2019-10-25

Branch Locations

2928 Eastlake Avenue E, Seattle, WA 98102 • 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
Cetera Advisor Network Llc Seattle WA 06/2009 10/2019
Raymond James Financial Services, Inc Seattle WA 10/2019 Present
Raymond James Financial Services Advisors, Inc Seattle WA 10/2019 Present
Previous Registrations
  • 2009-07-08 → 2019-10-28
    Cetera Wealth Services, Llc
    Bellevue, WA
    Bellevue, WA
    Seattle, WA
    Seattle, WA
    Bellevue, WA
    Seattle, WA
  • 2008-03-20 → 2009-06-23
    Banc Of America Investment Services, Inc.
    Seattle, WA
  • 2005-10-20 → 2008-03-24
    Cetera Wealth Services, Llc
    Seattle, WA
    Seattle, WA
Other Businesses

(1)Name of Business: Rental Property Address: 2920 Eastlake Ave E, Seattle, WA, 98102, United States Activity Type: Rental Real Estate Position/Title: Other Investment Related: Yes Start Date: 05/01/2006 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Owner (2)Name of Business: Torgerson Holding LLC Address: 2928 Eastlake Avenue E, Seattle, WA, 98102, United States Activity Type: Rental Real Estate Position/Title: Other, Passive investor Investment Related: Yes Start Date: 07/31/2013 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Business Owner of property, owns a residential unit and leases office space to the RJ practice. Potentially in the future will lease additional office space to other RJ reps.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-10-04
S63 Uniform Securities Agent State Law Examination 2000-07-12
  • S66 Uniform Combined State Law Examination
    2005-10-04
  • S63 Uniform Securities Agent State Law Examination
    2000-07-12
Designations
Other Names
  • Brian Rene Higgins

View on SEC IAPD

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