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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 2017-04-11
NC RA APPROVED 2017-03-21
  • TX RA
    APPROVED
    Since 2017-04-11
  • NC RA
    APPROVED
    Since 2017-03-21

Branch Locations

114 Commerce Center Loop Suite E, Mooresville, NC 28117 • 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
Triad Advisors, Inc. Mooresville NC 09/2015 02/2017
Ifg/Russell Advisors, Inc. Berwyn PA 03/2016 02/2017
Raymond James Financial Services, Inc. Mooresville NC 02/2017 Present
Raymond James Financial Services Advisors Inc. Charlotte NC 03/2017 Present
Wdsworth Group- First Financial Resources Charlotte NC 07/2017 10/2021
4 Life Investments Mooresville NC 04/2017 Present
Stonestreet Wealth Management Mooresville NC 04/2017 06/2024
Signature Wealth Group Mooresville NC 06/2018 Present
  • 09/2015 → 02/2017
    Triad Advisors, Inc.
    Mooresville, NC
  • 03/2016 → 02/2017
    Ifg/Russell Advisors, Inc.
    Berwyn, PA
  • 02/2017 → Present
    Raymond James Financial Services, Inc.
    Mooresville, NC
  • 03/2017 → Present
    Charlotte, NC
  • 07/2017 → 10/2021
    Wdsworth Group- First Financial Resources
    Charlotte, NC
  • 04/2017 → Present
    4 Life Investments
    Mooresville, NC
  • 04/2017 → 06/2024
    Stonestreet Wealth Management
    Mooresville, NC
  • 06/2018 → Present
    Signature Wealth Group
    Mooresville, NC
Previous Registrations
  • 2016-03-16 → 2017-02-22
    Ifg Russell Advisors Inc
    Mooresville, NC
  • 2016-07-12 → 2017-02-22
    American Financial Management Group, Ltd.
    Mooresville, NC
Other Businesses

(1)Name of Business: Address: 107 N Main St, Mooresville, NC, 28115-2525, United States Activity Type: Part-Time Activity/Employment Position/Title: Other Investment Related: No Start Date: 12/12/2023 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Associate Producer (2)Name of Business: 4 Life Investments Address: 111 Windy Run Lane, Mooresville, NC, 28117, United States Activity Type: Real Estate Brokerage/ Agent or Development Position/Title: Officer - CEO Investment Related: Yes Start Date: 04/01/2017 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Owner of building that I rent and own. John Clancy purchased 50% of 4 Life Investments. We rent to my business on ground floor and another business upstairs on second floor. (3)Name of Business: Signature Wealth Group Address: 107 N Main St, Mooresville, NC, 28115, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 06/25/2018 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Partner

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-03-03
S63 Uniform Securities Agent State Law Examination 1999-06-09
  • S65 Uniform Investment Adviser Law Examination
    2016-03-03
  • S63 Uniform Securities Agent State Law Examination
    1999-06-09

View on SEC IAPD

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