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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-07-18
AL RA APPROVED 2013-02-13
  • TX RA
    APPROVED_RES
    Since 2018-07-18
  • AL RA
    APPROVED
    Since 2013-02-13

Branch Locations

2900 Highway 280 Suite 100, Birmingham, AL 35223 • United States

Birmingham, AL • 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. Birmingham AL 02/2013 Present
Previous Registrations
  • 2007-02-13 → 2013-02-13
    Morgan Keegan & Company, Llc
    Birmingham, AL
    Alabaster, AL
    Birmingham, AL
  • 2003-07-10 → 2007-02-13
    Amsouth Investment Management Company Llc
    Birmingham, AL
  • 2003-03-14 → 2003-09-29
    Amsouth Investment Services, Inc.
    Birmingham, AL
    Bessemer, AL
    Birmingham, AL
    Bessemer, AL
    Hueytown, AL
    Fairfield, AL
    Alabaster, AL
    Bessemer, AL
    Helena, AL
    Bessemer, AL
Other Businesses

(1)Name of Business: Address: 1021 Baldwin Lane, Birmingham, AL, 35242, United States Activity Type: Rental Real Estate Position/Title: Investment Related: Yes Start Date: 08/01/2021 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-06-02
S63 Uniform Securities Agent State Law Examination 1995-12-07
  • S66 Uniform Combined State Law Examination
    2000-06-02
  • S63 Uniform Securities Agent State Law Examination
    1995-12-07
Other Names
  • James Kelley Jr Vaughn

View on SEC IAPD

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