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VERIFIEDTodd Walz
Raymond James & Associates, Inc.
4969 US Hwy 42
Suite 1600
Louisville, KY 40222
502-329-2066
About Raymond James & Associates, Inc.
We help to design and implement personalized wealth management solutions for affluent clients using a consultative, team based approach.
See Disclosures
General Information
Firm Start Year
2010
No. of Employees
5-9
CRD#
2799218
Firm CRD#
705
Name of Broker/Dealer
Raymond James Financial Services, Inc.
Years of Experience in Financial Services
22
Number of Years with Current Firm
15
Work with the following types of clients
Businesses, Individual Investors
Services
Investment Types
Mutual Funds, Insurance, Alternative Investments, Annuities, Stocks, Bonds
Can meet clients in the following ways
Our Office, Your Home, Your Office
Compliance
Registered Representative
Yes
Acknowledged fiduciary
Yes
Compliance Disclosures in Last 5 years
Have a clean record
Criminal Disclosures in Last 5 years
Have a clean record
Qualifications & Membership
Certifications, Accreditations & Designations
Accredited Asset Management Specialist (AAMS®), CFP™, CDFA®, AAMS®
Securities Licenses
Series 65, Series 66, Series 7
Insurance and Annuity Licenses
Annuity, Health, Disability, Life, Variable Annuity, Long Term Care, Variable Life
Firm Information
Advisor's Number of Clients
150
Advisor's Number of Managed Clients
150
Advisor's Number of Planning Clients
150
Total Assets Under Management by Advisor
$160000000
Compensation and Fees
Fee Structure
Fee-Based
Compensation Methods
Flat Fee, Commissions, Hourly
Fee % Based on Assets
1%
Education
Bachelor of Science - Economics
Centre College
-
Disclaimer
Raymond James financial advisors may only conduct business with residents of the states and/or jurisdictions for which they are properly registered. Therefore, a response to a request for information may be delayed. Please note that not all of the investments and services mentioned are available in every state. Investors outside of the United States are subject to securities and tax regulations within their applicable jurisdictions that are not addressed on this site. Contact our office for information and availability. Links are being provided for information purposes only. Raymond James is not affiliated with and does not endorse, authorize or sponsor any of the listed websites or their respective sponsors. Raymond James is not responsible for the content of any website or the collection or use of information regarding any website's users and/or members. © 2018 Raymond James & Associates, Inc., member New York Stock Exchange / SIPC | Privacy Policy | Terms of Use