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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 2013-03-18
  • TX RA
    APPROVED
    Since 2013-03-18

Branch Locations

4010 82Nd Street #215, Lubbock, TX 79423 • United States

Disclosures

2 disclosure categories 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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Raymond James Financial Services,Inc Lubbock TX 09/2012 Present
Raymond James Financial Services Advisors Inc. Lubbock TX 03/2013 Present
Coach Lubbock TX 08/2013 Present
Bstaley Llc Lubbock TX 10/2012 Present
  • 09/2012 → Present
    Raymond James Financial Services,Inc
    Lubbock, TX
  • 03/2013 → Present
    Lubbock, TX
  • 08/2013 → Present
    Coach
    Lubbock, TX
  • 10/2012 → Present
    Bstaley Llc
    Lubbock, TX
Previous Registrations
Other Businesses

(1)Name of Business: Martin Miller PGA Professional golf lessons Address: Avenue of champions, Lubbock, TX, 79424, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 09/16/2015 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Teach individual and group lessons (2)Name of Business: NA Address: 4th and Quaker, Lubbock, TX, 79407, United States Activity Type: Other Position/Title: Owner/Proprietor Investment Related: No Start Date: 11/07/2012 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 0-1 Description of duties: GOLF TEACHER

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-01-19
S63 Uniform Securities Agent State Law Examination 1999-04-07
  • S66 Uniform Combined State Law Examination
    2007-01-19
  • S63 Uniform Securities Agent State Law Examination
    1999-04-07

View on SEC IAPD

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