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ADRIANA N SORMANI
ADRIANA N. GODINEZ MRS., ADRIANA N SORMANI MS.
CRD#: 4178519
IA
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RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 100 NORTH TAMPA
SUITE 2400
TAMPA, FL 33602
SUITE 2400
TAMPA, FL 33602
0
Disclosures
24
Years of Experience
View By:
State Registrations
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Arizona 9/3/2019
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Minnesota 2/23/2022
B
California 9/3/2019
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New York 9/3/2019
B
Connecticut 2/25/2022
B
North Carolina 3/2/2022
B
District of Columbia 7/18/2023
B
Ohio 2/28/2024
B
Florida 9/3/2019
B
Pennsylvania 10/30/2020
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Florida 9/4/2019
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Tennessee 1/27/2021
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Georgia 9/3/2019
B
Texas 11/10/2021
B
Illinois 9/3/2019
B
Utah 9/3/2019
B
Iowa 9/5/2019
B
Wisconsin 9/3/2019
B
Michigan 9/3/2019
SRO Registrations
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IA
Registered with this firm since 9/4/2019
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Registered with this firm since 9/3/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/30/2011 - 09/12/2019 | CHICAGO, IL | |
B | 06/30/2011 - 09/12/2019 | CHICAGO, IL | |
IA | 10/23/2009 - 07/05/2011 | LAKE FOREST, IL | |
B | 10/23/2009 - 07/05/2011 | LAKE FOREST, IL | |
IA | 02/28/2003 - 10/23/2009 | LAKE FOREST, IL | |
B | 02/28/2003 - 10/23/2009 | LAKE FOREST, IL | |
IA | 11/30/2000 - 03/03/2003 | NORTHBROOK, IL | |
B | 08/08/2000 - 03/03/2003 | NEW YORK, NY |
LAKE FOREST, IL
10/23/2009 - 07/05/2011
LAKE FOREST, IL
10/23/2009 - 07/05/2011
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.