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Current Employers
Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2019-01-08
DE RA APPROVED 2009-01-02
  • PA RA
    APPROVED
    Since 2019-01-08
  • DE RA
    APPROVED
    Since 2009-01-02

Branch Locations

Prospect Park, PA • United States

1C Trolley Square, Wilmington, DE 19806 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
University Of Delaware Newark DE 09/1997 Present
Raymond James Financial Services, Inc. Wilmington DE 04/2004 Present
State Of Delaware Newark DE 01/2005 08/2021
Raymond James Financial Services Advisors, Inc Wilmington DE 01/2009 Present
Non-Variable Insurance Prospect Park PA 09/2012 Present
  • 09/1997 → Present
    University Of Delaware
    Newark, DE
  • 04/2004 → Present
    Raymond James Financial Services, Inc.
    Wilmington, DE
  • 01/2005 → 08/2021
    State Of Delaware
    Newark, DE
  • 01/2009 → Present
    Wilmington, DE
  • 09/2012 → Present
    Non-Variable Insurance
    Prospect Park, PA
Previous Registrations
  • 2003-09-10 → 2004-02-05
    Heather Agency, Inc.
    Christiana, DE
Other Businesses

(1) Name of Business: BMB INC Address: 1c Trolley Sq, Wilmington, DE, 19806, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 04/01/2004 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Support company owner (2) Name of Business: John Hancock Life Address: 1C Trolley Square, Wilmington, DE, 19806, United States Activity Type: Non-variable Insurance Position/Title: Broker Investment Related: Yes Start Date: 09/21/2012 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: life insurance policy (3) Name of Business: New Castle County School Employees Federal Teacher's Credit Union Address: 113 W. 6th Street, New Castle, DE, 19720, United States Activity Type: Board Member, Board Subcommittee Member, Officer, or Director Position/Title: Other Investment Related: No Start Date: 01/01/2009 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Supervisory committee

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-09-09
S63 Uniform Securities Agent State Law Examination 1991-04-02
  • S65 Uniform Investment Adviser Law Examination
    2003-09-09
  • S63 Uniform Securities Agent State Law Examination
    1991-04-02
Other Names
  • Michael J Lahoda

View on SEC IAPD

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