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Raymond James Financial Services Advisors, Inc CRD 149018
$390B regulatory AUM 5,542 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2023-03-21 |
| TX | RA | APPROVED_RES | 2022-02-28 |
Branch Locations
1988 E. Baseline Road Suite 101, Tempe, AZ 85283 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James & Associates | Tempe | AZ | 08/2014 | 02/2022 |
| Raymond James Financial Services, Inc. | Tempe | AZ | 02/2022 | Present |
| Raymond James Financial Services Advisors, Inc. | Tempe | AZ | 02/2022 | Present |
(1)Name of Business: Buechting Financial, LLC Address: 1988 E Baseline Rd Ste 101, Tempe, AZ, 85283-1536, United States Activity Type: Support Company - Owner Position/Title: Independent Contractor Investment Related: No Start Date: 01/01/2021 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Financial Advisor and retirement planning (2)Name of Business: Kathleen Lindquist CPA PC Address: 1988 E Baseline Rd Ste 101, Tempe, AZ, 85283-1536, United States Activity Type: Rental Real Estate Position/Title: Other Investment Related: Yes Start Date: 12/01/2022 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I am the branch owner for Buechting Financial. We have a locate CPA that is wanted to sublease an empty office in our office. This would be for part of the year during tax season. We do have a small amount of clients, but we do not have referral program with the CPA. We are looking for approval for before signing a lease agreement with the CPA.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-03-08 |
| S63 | Uniform Securities Agent State Law Examination | 2000-12-22 |
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