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Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2025-10-01
TX RA APPROVED 2025-10-01
  • NC RA
    APPROVED
    Since 2025-10-01
  • TX RA
    APPROVED
    Since 2025-10-01

Branch Locations

5935 Carnegie Blvd Suite 300, Charlotte, NC 28209 • 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
Pacific Sw Airlines/ Us Air San Diego, Pittsburg, Charlotte NC 02/1986 02/2021
Raymond James & Associates Charlotte NC 01/2005 10/2025
Us Airways Charlotte NC 07/2007 02/2021
Raymond James Financial Services Advisors, Inc. Charlotte NC 10/2025 Present
Raymond James Financial Services, Inc. Charlotte NC 10/2025 Present
  • 02/1986 → 02/2021
    Pacific Sw Airlines/ Us Air
    San Diego, Pittsburg, Charlotte, NC
  • 01/2005 → 10/2025
    Raymond James & Associates
    Charlotte, NC
  • 07/2007 → 02/2021
    Us Airways
    Charlotte, NC
  • 10/2025 → Present
    Charlotte, NC
  • 10/2025 → Present
    Raymond James Financial Services, Inc.
    Charlotte, NC
Previous Registrations
Other Businesses

(1)Name of Business: AWA GROUP LLC Address: 5935 Carnegie Blvd Ste 300, Charlotte, NC, 28209-4645, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 03/20/2013 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: THIS LLC OWNS OUR LEASE FOR LIABILITY PURPOSES ONLY (2)Name of Business: SPOKE AND THISTLE Address: 574 HOWARD GAP RD, TRYON, NC, 28782, United States Activity Type: Rental Real Estate Position/Title: Partner Investment Related: Yes Start Date: 01/01/2021 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 0-1 Description of duties: AIRBNB...MY WIFE RUNS (3)Name of Business: WAINSCOTT WEALTH SOLUTIONS LLC Address: 5935 Carnegie Blvd Ste 300, Charlotte, NC, 28209-4645, United States Activity Type: Support Company - Owner Position/Title: Independent Contractor Investment Related: No Start Date: 10/01/2025 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 41+ Description of duties: Holding account for RJFS pay

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-12-12
S63 Uniform Securities Agent State Law Examination 1997-01-06
  • S65 Uniform Investment Adviser Law Examination
    2001-12-12
  • S63 Uniform Securities Agent State Law Examination
    1997-01-06
Designations
  • Certified Financial Planner
Other Names
  • Brent Wainscott
  • S Brent Wainscott

View on SEC IAPD

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