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Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-02-06
WI RA APPROVED 2015-04-20
  • TX RA
    APPROVED_RES
    Since 2020-02-06
  • WI RA
    APPROVED
    Since 2015-04-20

Branch Locations

20800 Swenson Drive Suite 325, Waukesha, WI 53186 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James & Associates Brookfield WI 04/2015 Present
  • 04/2015 → Present
    Raymond James & Associates
    Brookfield, WI
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-10-25
S63 Uniform Securities Agent State Law Examination 1988-03-24
  • S65 Uniform Investment Adviser Law Examination
    1999-10-25
  • S63 Uniform Securities Agent State Law Examination
    1988-03-24

View on SEC IAPD

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