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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
AZ RA APPROVED 2025-10-03
TX RA APPROVED_RES 2025-10-02
  • AZ RA
    APPROVED
    Since 2025-10-03
  • TX RA
    APPROVED_RES
    Since 2025-10-02

Branch Locations

6720 N. Scottsdale Road Suite 390, Scottsdale, AZ 85253 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Axa Advisors, Llc New York NY 07/2004 06/2020
Equitable Advisors, Llc New York NY 07/2004 10/2025
Raymond James Financial Services, Inc. Scottsdale AZ 10/2025 Present
Raymond James Financial Services Advisors, Inc. Scottsdale AZ 10/2025 Present
Previous Registrations
Other Businesses

(1)Name of Business: Address: 6720 N Scottsdale Rd Ste 390, Scottsdale, AZ, 85253-4421, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 01/01/2010 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I Sell some Health insurance (2)Name of Business: Scottsdale Charros Address: 8295 N. 73rd Pl, Scottsdale , AZ, 85258, United States Activity Type: Non profit Position/Title: Finance/Investment Committee Member, Committee Member Investment Related: Yes Start Date: 10/25/2018 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I am an active member of the Scottsdale Charros. We are 501C-6 that raises money through Spring Training Baseball and re-distribute it to local charities. (3)Name of Business: Southwest Wealth Strategies Address: 6720 N Scottsdale Rd Ste 390, Scottsdale, AZ, 85253-4421, United States Activity Type: Support Company - Owner Position/Title: Officer - CEO 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: 21-40 Description of duties: Participate in the management decisions. (4)Name of Business: Starry Night Ranch Address: 8295 N 73rd pl , Scottsdale, AZ, 85258, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 01/01/2024 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Strategic advice.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-08-21
S65 Uniform Investment Adviser Law Examination 2000-08-25
S63 Uniform Securities Agent State Law Examination 1999-07-07
  • S66 Uniform Combined State Law Examination
    2003-08-21
  • S65 Uniform Investment Adviser Law Examination
    2000-08-25
  • S63 Uniform Securities Agent State Law Examination
    1999-07-07
Designations
  • Certified Financial Planner
Other Names
  • John Christian Arnold

View on SEC IAPD

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