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Isabella Roma Griffin

Raymond James Financial Services Advisors, Inc

Wilton, CT

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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2013-06-17
  • CT RA
    APPROVED
    Since 2013-06-17

Branch Locations

44 Old Ridgefield Road Suite 234, Wilton, CT 06897 • 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 Wilton CT 05/2013 Present
Raymond James Financial Services Advisors Inc. Wilton CT 06/2013 Present
Previous Registrations
  • 2005-04-08 → 2013-05-20
    Ubs Financial Services Inc.
    New York, NY
    Weehawken, NJ
    New York, NY
    New York, NY
  • 1995-12-15 → 2005-04-11
    Chase Investment Services Corp.
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-02-10
S63 Uniform Securities Agent State Law Examination 1987-06-02
  • S65 Uniform Investment Adviser Law Examination
    1995-02-10
  • S63 Uniform Securities Agent State Law Examination
    1987-06-02
Other Names
  • Isabella Roma Baldan
  • Isabella Roma Baldan

View on SEC IAPD

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Other Offices

AIS CAPITAL MANAGEMENT L.P. · WILTON, CT
AGILIS INVESTMENT MANAGEMENT LLC · WILTON, CT
ROUND ROCK ADVISORS LLC · WILTON, CT
STONEBRIDGE ADVISORS LLC · WILTON, CT
AIS CAPITAL MANAGEMENT L.P. · WILTON, CT
OAK MANAGEMENT CORPORATION · WILTON, CT
MERIT FINANCIAL ADVISORS · Wilton, CT
OSAIC WEALTH, INC. · WILTON, CT

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