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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-07-22
IA RA APPROVED 2026-01-12
  • TX RA
    APPROVED
    Since 2026-07-22
  • IA RA
    APPROVED
    Since 2026-01-12

Branch Locations

214 5Th Street, West Des Moines, IA 50265 • 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
Commonwealth Financial Network San Diego CA 07/2016 01/2026
Legacy Capital Partners West Des Moines IA 07/2016 03/2021
Raymond James Financial Services, Inc. West Des Moines IA 01/2026 Present
Raymond James Financial Services Advisors, Inc. West Des Moines IA 01/2026 Present
Previous Registrations
  • 2016-07-29 → 2026-01-12
    West Des Moines, IA
  • 2005-01-18 → 2016-08-08
    Fsc Securities Corporation
    West Des Moines, IA
    West Des Moines, IA
  • 2005-04-20 → 2016-08-01
    Diversified Financial Advisory Group, Inc.
    West Des Moines, IA
  • 1999-08-06 → 2005-01-21
    Osaic Fa, Inc.
    West Des Moines, IA
Other Businesses

(1)Name of Business: Comport LLC Address: 214 5th St, West des Moines, IA, 50265-4718, United States Activity Type: Rental Real Estate Position/Title: Partner Investment Related: Yes Start Date: 07/05/2018 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: We own a building 50% each with Dan Porter and myself and rent to Two Oaks Wealth. (2)Name of Business: Two Oaks Wealth Address: 214 5th St, West des Moines, IA, 50265-4718, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 06/24/2021 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Role in relation to this activity: Founder, Owner/Proprietor\nProvide a full array of financial services to our clients.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1987-03-04
  • S63 Uniform Securities Agent State Law Examination
    1987-03-04
Designations
Other Names
  • Michael A Compiano

View on SEC IAPD

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