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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2014-11-06
  • TN RA
    APPROVED
    Since 2014-11-06

Branch Locations

412 Georgia Ave Suite 236, Chattanooga, TN 37403 • 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 Financial Services Advisors Inc. Chattanooga TN 11/2014 Present
Raymond James Financial Services, Inc. Chattanooga TN 11/2014 Present
Smartbank Chattanooga TN 04/2019 Present
Previous Registrations
  • 2013-02-13 → 2014-11-05
    Chattanooga, TN
    Chattanooga, TN
  • 2006-12-12 → 2013-02-13
    Morgan Keegan & Company, Llc
    Chattanooga, TN
    Chattanooga, TN
  • 2004-01-28 → 2006-12-15
    Securities America Advisors, Inc.
    Ringgold, GA
Other Businesses

(1)Name of Business: Greg McGuire Insurance Brokerage Address: 835 Georgia Ave , Chattanooga, TN, 37402, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 09/14/2017 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Proved Independent Insurance Brokerage services for clients (2)Name of Business: SmartBank Address: 835 Georgia Ave , Chattanooga, TN, 37402, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 04/01/2019 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Financial Advisor,Registered Rep (3)Name of Business: SmartBank Address: 835 Georgia Ave, Chattanooga, TN, 37402, United States Activity Type: Bank or Credit Union Associate Position/Title: Associate/Employee Investment Related: Yes Start Date: 04/01/2019 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: FID FA

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-08-18
S63 Uniform Securities Agent State Law Examination 1996-01-03
  • S66 Uniform Combined State Law Examination
    2005-08-18
  • S63 Uniform Securities Agent State Law Examination
    1996-01-03

View on SEC IAPD

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