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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2012-05-23
  • PA RA
    APPROVED
    Since 2012-05-23

Branch Locations

479 Northampton Street, Kingston, PA 18704 • United States

Disclosures

1 disclosure category 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 No
Employment History
OrganizationCityStateFromTo
Raymond James Financial Services, Inc. Kingston PA 01/1999 Present
Finra Philadelphia PA 11/2013 Present
Raymond James Financial Services Advisors Inc. Kingston PA 05/2012 Present
Other Businesses

(1)Name of Business: n/a Address: 279 vine st, plymouth, PA, 18651, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 09/06/2005 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 0-1 Description of duties: sole owner (2)Name of Business: TAX PREP SERVICE Address: 279 vine st, plymouth, PA, 18651, United States Activity Type: Tax Preparation Position/Title: Owner/Proprietor Investment Related: No Start Date: 09/06/2005 Hours per month devoted to this business: 21-40 Hours per month devoted to this business during trading hours: 0-1 Description of duties: NOT REQUIRED AT TIME OF SUBMISSION

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1986-08-22
  • S63 Uniform Securities Agent State Law Examination
    1986-08-22
Other Names
  • Dick Pascoe

View on SEC IAPD

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