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Courtney Wallen

Raymond James & Associates, Inc.

St. Petersburg, FL

Alexandria, VA

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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2018-12-11
  • VA RA
    APPROVED
    Since 2018-12-11

Branch Locations

880 Carillon Parkway, St. Petersburg, FL 33716 • UNITED STATES

Alexandria, VA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ef Legacy Securities, Llc Henrico VA 02/2018 11/2018
Capital Impact Partners Arlington VA 07/2017 02/2018
Volunteer/Philanthropic Camp Lejeune NC 12/2015 05/2017
Edelman Financial Services, Llc Fairfax VA 02/2018 11/2018
Financial Engines Advisors L.L.C. Sunnyvale CA 11/2018 11/2018
Raymond James & Associates, Inc. Alexandria VA 12/2018 Present
  • 02/2018 → 11/2018
    Ef Legacy Securities, Llc
    Henrico, VA
  • 07/2017 → 02/2018
    Capital Impact Partners
    Arlington, VA
  • 12/2015 → 05/2017
    Volunteer/Philanthropic
    Camp Lejeune, NC
  • 02/2018 → 11/2018
    Edelman Financial Services, Llc
    Fairfax, VA
  • 11/2018 → 11/2018
    Financial Engines Advisors L.L.C.
    Sunnyvale, CA
  • 12/2018 → Present
    Raymond James & Associates, Inc.
    Alexandria, VA
Previous Registrations
  • 2018-11-01 → 2018-12-05
    Edelman Financial Engines
    Sunnyvale, CA
  • 2018-08-29 → 2018-11-01
    Edelman Financial Services, Llc
    Fairfax, VA
  • 2008-08-01 → 2012-03-28
    Nationwide Securities, Llc
    Dublin, OH
    Arlington, VA
    Newark, DE
    Richmond, VA
    Grandview Heights, OH
    Richmond, VA
    Columbus, OH
  • 2004-02-17 → 2008-08-01
    1717 Capital Management Company
    Arlington, VA
    Richmond, VA
    Newark, DE
    Richmond, VA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-08-27
S63 Uniform Securities Agent State Law Examination 2018-03-20
  • S65 Uniform Investment Adviser Law Examination
    2018-08-27
  • S63 Uniform Securities Agent State Law Examination
    2018-03-20
Other Names
  • Courtney M Wallen
  • Courtney Michelle Miller
  • Courtney M Wallen
  • Courtney Michelle Wallen

View on SEC IAPD

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RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · SAINT PETERSBURG, FL
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RAYMOND JAMES INVESTMENT MANAGEMENT · St. Petersburg, FL
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