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Current Employers
Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2018-09-20
  • IA RA
    APPROVED
    Since 2018-09-20

Branch Locations

Council Bluffs, IA • United States

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2018-09-18
  • IA RA
    APPROVED
    Since 2018-09-18

Branch Locations

880 Carillon Parkway, St. Petersburg, FL 33716 • UNITED STATES

Council Bluffs, IA • 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 Advisors Networks Llc El Segundo CA 10/2015 03/2018
Cetera Advisors Llc Denver CO 10/2015 03/2018
Cetera Financial Specialists Llc Schaumburg IL 10/2015 03/2018
Investors Capital Corp. Lynnfield MA 10/2015 11/2016
Summit Brokerage Services, Inc. Boca Raton FL 10/2015 03/2018
Girard Securities, Inc. San Diego CA 10/2015 03/2018
Vsr Financial Services, Inc. Overland Park KS 10/2015 11/2016
Raymond James & Company Inc. Waukee IA 07/2018 Present
Unemployed Waukee IA 04/2018 07/2018
Raymond James Financial Services Waukee IA 07/2018 Present
Raymond James Financial Services Advisors Inc. Waukee IA 09/2018 Present
  • 10/2015 → 03/2018
    Cetera Advisors Networks Llc
    El Segundo, CA
  • 10/2015 → 03/2018
    Cetera Advisors Llc
    Denver, CO
  • 10/2015 → 03/2018
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 10/2015 → 11/2016
    Investors Capital Corp.
    Lynnfield, MA
  • 10/2015 → 03/2018
    Summit Brokerage Services, Inc.
    Boca Raton, FL
  • 10/2015 → 03/2018
    Girard Securities, Inc.
    San Diego, CA
  • 10/2015 → 11/2016
    Vsr Financial Services, Inc.
    Overland Park, KS
  • 07/2018 → Present
    Raymond James & Company Inc.
    Waukee, IA
  • 04/2018 → 07/2018
    Unemployed
    Waukee, IA
  • 07/2018 → Present
    Raymond James Financial Services
    Waukee, IA
  • 09/2018 → Present
    Waukee, IA
Previous Registrations
  • 2009-01-23 → 2012-06-04
    Securities America Advisors, Inc.
    Lavista, NE
  • 2008-04-21 → 2009-01-23
    Brecek & Young Advisors, Inc.
    Folsom, CA
    Folsom, CA
    Cincinnati, OH
Other Businesses

(1)Name of Business: Address: 102 Upland Drive , Council Bluffs, IA, 51503, United States Activity Type: Rental Real Estate Position/Title: Other Investment Related: Yes Start Date: 08/23/2022 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Purchased rental property for the purpose of generating rental income to offset the mortgage payments.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-09-17
S63 Uniform Securities Agent State Law Examination 1999-09-07
  • S66 Uniform Combined State Law Examination
    2018-09-17
  • S63 Uniform Securities Agent State Law Examination
    1999-09-07
Other Names
  • Leia Farmer

View on SEC IAPD

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