Individual Firm
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AARON PHILLIP TELLEZ
CRD#: 4270199
IA
B
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 9205 W. RUSSELL ROAD, SUITE 240
LAS VEGAS, NV 89148
LAS VEGAS, NV 89148
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 9205 W. RUSSELL ROAD
STE 240
LAS VEGAS, NV 89148
STE 240
LAS VEGAS, NV 89148
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8/1/2019
Customer Dispute
Denied
4/22/2003
Customer Dispute
Denied
4/14/2003
Customer Dispute
Denied
3/24/2003
Customer Dispute
Denied
State Registrations
B
Alabama 2/21/2019
IA
Nevada 1/5/2018
B
Alaska 9/7/2023
B
New Jersey 8/15/2023
B
Arizona 12/11/2017
B
New Mexico 12/22/2017
B
Arkansas 9/7/2023
B
New York 12/11/2017
B
California 12/12/2017
B
North Dakota 8/18/2022
B
Colorado 10/21/2022
B
Oregon 12/11/2017
B
District of Columbia 9/7/2023
B
Pennsylvania 9/7/2023
B
Florida 9/28/2022
B
South Carolina 5/9/2022
B
Hawaii 9/7/2023
B
Texas 9/28/2022
B
Illinois 9/28/2022
IA
Texas 7/26/2023
B
Indiana 9/7/2023
B
Utah 1/18/2018
B
Louisiana 9/28/2022
B
Virginia 9/20/2022
B
Massachusetts 11/27/2018
B
Washington 9/28/2022
B
Montana 9/7/2023
B
West Virginia 8/29/2024
B
Nevada 12/18/2017
B
Wisconsin 9/7/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 12/20/2017
B
Registered with this firm since 12/11/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/24/2014 - 12/11/2017 | IRVINE, CA | |
B | 11/21/2014 - 12/11/2017 | IRVINE, CA | |
IA | 04/03/2009 - 12/08/2014 | IRVINE, CA | |
B | 04/07/2009 - 12/08/2014 | IRVINE, CA | |
B | 05/22/2009 - 10/20/2011 | LAS VEGAS, NV | |
IA | 12/09/2002 - 04/15/2009 | NEWPORT BEACH, CA | |
B | 11/29/2002 - 04/15/2009 | NEWPORT BEACH, CA | |
B | 10/13/2000 - 12/12/2002 | NEW YORK, NY |
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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.