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Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 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 & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2007-03-20
OH RA APPROVED 2006-03-01
  • TX RA
    APPROVED_RES
    Since 2007-03-20
  • OH RA
    APPROVED
    Since 2006-03-01

Branch Locations

6745 Longshore St Suite 220, Dublin, OH 43017 • United States

Woodstock, OH • 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
Raymond James & Associates,Inc. Columbus OH 01/2006 Present
  • 01/2006 → Present
    Raymond James & Associates,Inc.
    Columbus, OH
Previous Registrations
  • 1999-05-13 → 2006-01-25
    Morgan Stanley Dw Inc.
    Dublin, OH
Other Businesses

(1)Name of Business: Kemper Farms Address: 11434 E US Hwy 36 , Woodstock, OH, 43084, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 01/13/2017 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Oversee the operation of a grain farm (2)Name of Business: Rush Township Zoning Board Address: 4235 Glendenning Rd, North Lewisburg, OH, 43084, United States Activity Type: Other Position/Title: Other Investment Related: No Start Date: 09/02/2015 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: to review zoning requests for the township. This zoning board had not met for 6 years. There was a request that needed the approval of the zoning board, and 1 member was deceased and another moved out of the township. I was asked to participate.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1987-11-05
  • S63 Uniform Securities Agent State Law Examination
    1987-11-05

View on SEC IAPD

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