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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2013-02-13
TX RA APPROVED_RES 2013-02-13
  • TN RA
    APPROVED
    Since 2013-02-13
  • TX RA
    APPROVED_RES
    Since 2013-02-13

Branch Locations

1100 Ridgeway Loop Road, Memphis, TN 38120 • 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. Memphis TN 02/2013 Present
Previous Registrations
  • 2004-03-11 → 2013-02-13
    Morgan Keegan & Company, Llc
    Memphis, TN
    Memphis, TN
    Memphis, TN
Other Businesses

(1)Name of Business: Jane Giannini Mayer Foundation Address: 1865 Enclave Hollow Ln W, Germantown, TN, 38139, United States Activity Type: Non profit Position/Title: Founder Investment Related: Yes Start Date: 04/30/2024 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Starting a foundation in memory of my wife who passed away.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-06
S63 Uniform Securities Agent State Law Examination 1988-12-09
  • S65 Uniform Investment Adviser Law Examination
    1999-12-06
  • S63 Uniform Securities Agent State Law Examination
    1988-12-09
Designations

View on SEC IAPD

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