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Raymond James Financial Services Advisors, Inc CRD 149018
$390B regulatory AUM 5,542 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2022-02-22 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Synovus Securities, Inc. | Huntsville | AL | 08/2016 | 04/2017 |
| First Commerical Bank | Huntsville | AL | 08/2016 | 04/2017 |
| Compass Bank | Birmingham | AL | 04/2017 | 05/2021 |
| Bbva Securities Inc. | Hunstville | AL | 05/2017 | 05/2021 |
| Bbva Wealth Solutions Inc. | Huntsville | AL | 11/2017 | 05/2021 |
| Pinnacle Financial Partners/ Pinnacle Bank | Huntsville | AL | 06/2021 | 02/2022 |
| Raymond James Financial Services, Inc | Huntsville | AL | 02/2022 | Present |
| Raymond James Financial Services Advisors, Inc | Huntsville | AL | 02/2022 | Present |
(1)Name of Business: Pinnacle Asset Management Address: 409 Madison St SE, Huntsville, AL, 35801-4204, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 06/14/2021 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 41+ Description of duties: Licensed Bank Associate (2)Name of Business: Tabba Address: 2771 Deford Mill Rd SE, Owens Crossroads, AL, 35763, United States Activity Type: Business Owner Position/Title: Partner Investment Related: Yes Start Date: 07/01/2018 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: None (3)Name of Business: TRG Holdings, LLC Address: 2771 Deford Mill Rd SE, Owens Crossroads, AL, 35763, United States Activity Type: Business Owner Position/Title: Partner Investment Related: No Start Date: 07/01/2018 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I am a silent partner in this. I do nothing for the company. (4)Name of Business: Washington Holdings, LLC Address: 2771 Deford Mill Rd SE, Owens Crossroads, AL, 35763, United States Activity Type: Business Owner Position/Title: Partner Investment Related: No Start Date: 07/01/2018 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: None
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-11-22 |
| S63 | Uniform Securities Agent State Law Examination | 2013-12-10 |
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