Individual Firm
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Sean Anthony Garcia
CRD#: 4219822
IA
B
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 880 CARILLON PARKWAY
SAINT PETERSBURG, FL 33716
SAINT PETERSBURG, FL 33716
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 880 CARILLON PARKWAY
ST PETERSBURG, FL 33716
ST PETERSBURG, FL 33716
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9/19/1991
Criminal
Final Disposition
State Registrations
B
Florida 7/11/2019
IA
Florida 7/12/2019
SRO Registrations
B
B
B
B
B
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IA
Registered with this firm since 4/12/2024
IA
Registered with this firm since 7/12/2019
B
Registered with this firm since 4/10/2024
B
Registered with this firm since 7/11/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/08/2006 - 07/10/2019 | TAMPA, FL | |
B | 11/30/2000 - 07/10/2019 | TAMPA, FL |
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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.
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