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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2023-03-09
  • MO RA
    APPROVED
    Since 2023-03-09

Branch Locations

Clinton, MO • United States

880 Carillon Parkway, St. Petersburg, FL 33716 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Commerce Brokerage Services, Inc Kansas City MO 06/2009 09/2022
Lpl Financial Llc Blue Springs MO 09/2022 02/2023
Raymond James & Associates, Inc Blue Springs MO 02/2023 Present
Previous Registrations
Other Businesses

(1)Name of Business: Cinderellis Fitness, LLC Address: 346 NW 182nd Rd, Clinton, MO, 64735, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 12/07/2012 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: teach fitness & yoga classes

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-01-13
S63 Uniform Securities Agent State Law Examination 1995-01-06
  • S65 Uniform Investment Adviser Law Examination
    2003-01-13
  • S63 Uniform Securities Agent State Law Examination
    1995-01-06
Other Names
  • Cindy Lou Coleman
  • Cindy Lou Bennett
  • Cindy Lou Ellis
  • Cindy L Ellis

View on SEC IAPD

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