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880 Carillon Parkway, St. Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2021-10-15 |
| TX | RA | APPROVED | 2021-10-15 |
Branch Locations
4969 Us Hwy 42 Suite 1600, Louisville, KY 40222 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Louisville | KY | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Louisville | KY | 11/2016 | 10/2021 |
| Raymond James & Associates, Inc | Louisville | KY | 10/2021 | Present |
(1)Name of Business: Address: 5403 Farm Ridge Lane, Prospect, KY, 40059, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 02/15/2022 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: My husband purchased a home in FL for rental income. My husband and friend formed an LLC to make the purchase.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-02-10 |
| S63 | Uniform Securities Agent State Law Examination | 1998-09-11 |
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