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AP

Amanda J. Poland

RAYMOND JAMES INVESTMENT MANAGEMENT
Aurora, CO
Some features on this profile are disabled
CRD#: 5575897
AP

Professional summary

Amanda Jean Poland is a registered financial advisor currently at RAYMOND JAMES INVESTMENT MANAGEMENT located in Aurora, Colorado and CARILLON FUND DISTRIBUTORS, INC. located in St. Petersburg, Florida.

Amanda is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Amanda has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Instacart. 50 Beale St Ste 600, San Francisco, CA 94107. Personal shopper and delivery. Duties- shop and deliver orders from grocery and retail stores. Start- 01/18. 40 hrs/mo. 0 during trading hours. 2) UberEats. San Francisco, CA. Delivery Driver. Duties- pick up and deliver food. Start 01/18. 10 hrs/mo. 0 during trading hours. 3) Postmates. San Francisco, CA. Delivery Driver. Duties- pick up and deliver food from restaurants. Start 01/18. 20 hrs/mo. 0 during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amanda Jean Poland's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 22, 2020 - Present

RAYMOND JAMES INVESTMENT MANAGEMENT

RIA
CRD#: 174904
Aurora, CO
Current

October 30, 2018 - Present

CARILLON FUND DISTRIBUTORS, INC.

Office #1: 880 Carillon Parkway, St. Petersburg, FL 33716
BD
CRD#: 139749
St. Petersburg, FL
Past

October 6, 2014 - October 15, 2018

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

August 19, 2008 - December 16, 2011

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
HARRISON, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RJ
RAYMOND JAMES INVESTMENT MANAGEMENT
CARILLON TOWER ADVISERS, INC. | RAYMOND JAMES INVESTMENT MANAGEMENT

CRD#: 174904 / SEC#: 801-100356

RIA
Registered Investment Advisory firm - (7/6/2015 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Colorado
(10/30/2018)
IAR
Colorado
(9/22/2020)
RR
Florida
(10/30/2018)
RR
Minnesota
(4/8/2019)
RR
North Dakota
(9/8/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/14/2020
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/22/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/22/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/6/2014
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RJ
RAYMOND JAMES INVESTMENT MANAGEMENT
CARILLON TOWER ADVISERS, INC. | RAYMOND JAMES INVESTMENT MANAGEMENT

CRD#: 174904 / SEC#: 801-100356

RIA
Registered Investment Advisory firm - (7/6/2015 Approved)
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Contact information

Main Address
780 Carillon Parkway, St Petersburg, FL 33716
Mailing Address
880 Carillon Parkway, St Petersburg, FL 33716
Phone number
(800) 521-1195
Established
Firm type
Fiscal year end
# of Employees
173

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

RAYMOND JAMES INVESTMENT MANAGEMENT FORM ADV PART 2 DECEMBER 2024 (12/11/2024)

Regulatory assets under management

Total Number of Accounts5
AUM (Assets Under Management)$ 16,378,977,378

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

RAYMOND JAMES INVESTMENT MANAGEMENT

CRD#: 174904Aurora, CO

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