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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2019-10-22
  • FL RA
    APPROVED
    Since 2019-10-22

Branch Locations

1525 S. Florida Avenue Suite 2, Lakeland, FL 33813 • 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
Suntrust Investment Services, Inc. Winter Haven FL 11/1995 10/2019
Suntrust Advisory Services Atlanta GA 08/2016 10/2019
Raymond James Financial Services, Inc. Lakeland FL 10/2019 Present
Raymond James Financial Services Advisors, Inc. Lakeland FL 10/2019 Present
  • 11/1995 → 10/2019
    Suntrust Investment Services, Inc.
    Winter Haven, FL
  • 08/2016 → 10/2019
    Suntrust Advisory Services
    Atlanta, GA
  • 10/2019 → Present
    Raymond James Financial Services, Inc.
    Lakeland, FL
  • 10/2019 → Present
    Lakeland, FL
Previous Registrations
  • 2016-08-19 → 2019-10-21
    Lakeland, FL
    Lakeland, FL
  • 1996-04-25 → 2016-12-31
    Truist Investment Services, Inc.
    Lakeland, FL
    Lakeland, FL
    Winter Haven, FL
    Lakeland, FL
    Lakeland, FL
Other Businesses

(1)Name of Business: Chaffin Capital Advisors Address: 1525 S. Florida Avenue, Lakeland, FL, 33803, United States Activity Type: Support Company - Owner Position/Title: Officer - Vice President Investment Related: No Start Date: 10/10/2019 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Support company only

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-09-28
S63 Uniform Securities Agent State Law Examination 1996-07-25
  • S65 Uniform Investment Adviser Law Examination
    2000-09-28
  • S63 Uniform Securities Agent State Law Examination
    1996-07-25
Other Names
  • Jim Chaffin

View on SEC IAPD

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