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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 2023-04-05
NC RA APPROVED 2016-04-27
TX RA APPROVED_RES 2016-04-26
OH RA APPROVED 2009-01-02
  • FL RA
    APPROVED
    Since 2023-04-05
  • NC RA
    APPROVED
    Since 2016-04-27
  • TX RA
    APPROVED_RES
    Since 2016-04-26
  • OH RA
    APPROVED
    Since 2009-01-02

Branch Locations

Estero, FL • 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 Concord OH 04/2005 Present
Raymond James Financial Services Advisors, Inc Concord OH 01/2009 Present
Johnnycake Financial Services, Inc. Mentor OH 10/2012 Present
Rcf Enterprises Llc Mentor OH 02/2015 Present
  • 04/2005 → Present
    Raymond James Financial Services
    Concord, OH
  • 01/2009 → Present
    Concord, OH
  • 10/2012 → Present
    Johnnycake Financial Services, Inc.
    Mentor, OH
  • 02/2015 → Present
    Rcf Enterprises Llc
    Mentor, OH
Previous Registrations
Other Businesses

(1)Name of Business: Johnnycake Financial Services, Inc Address: 9930 Johnnycake Ridge Rd Ste 5d, Concord, OH, 4060, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 10/01/2012 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Financial Advisor / Co-Branch Manager (2)Name of Business: RCF Enterprises LLC Address: 9930 Johnnycake Ridge Rd Ste 5d, Concord, OH, 44060, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 02/01/2015 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: collect rent from lessee (our firm-Johnnycake Financial)

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-04-10
S63 Uniform Securities Agent State Law Examination 1988-02-04
  • S65 Uniform Investment Adviser Law Examination
    1997-04-10
  • S63 Uniform Securities Agent State Law Examination
    1988-02-04

View on SEC IAPD

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