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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-07-15
TN RA APPROVED 2013-02-13
  • FL RA
    APPROVED
    Since 2024-07-15
  • TN RA
    APPROVED
    Since 2013-02-13

Branch Locations

11400 Parkside Drive Suite 200, Knoxville, TN 37934 • United States

Corryton, TN • United States

120 Concord Dr Ne , Port Charlotte, FL 33952 • 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, Inc. Knoxville TN 02/2013 Present
Previous Registrations
  • 2004-07-22 → 2013-02-13
    Morgan Keegan & Company, Llc
    Knoxville, TN
    Knoxville, TN
  • 2004-03-30 → 2004-06-15
    J.J.B. Hilliard, W.L. Lyons, Llc
    Knoxville, TN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-11-19
S63 Uniform Securities Agent State Law Examination 1992-04-09
  • S65 Uniform Investment Adviser Law Examination
    1999-11-19
  • S63 Uniform Securities Agent State Law Examination
    1992-04-09
Other Names
  • Cindy Harless
  • Cynthia E Harless

View on SEC IAPD

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