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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 2017-09-26
OK RA APPROVED 2017-09-07
  • TX RA
    APPROVED
    Since 2017-09-26
  • OK RA
    APPROVED
    Since 2017-09-07

Branch Locations

2431 E. 61St Street Suite 260, Tulsa, OK 74136 • 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
Citigroup Global Markets Inc. Tulsa OK 06/2004 09/2017
Morgan Stanley Smith Barney Tulsa OK 06/2009 09/2017
Morgan Stanley Private Bank, National Association New York NY 01/2015 09/2017
Raymond James & Associates, Inc. Tulsa OK 09/2017 Present
Previous Registrations
Other Businesses

(1) Name of Business: Address: 3706 E. 103rd Place, Tulsa, OK, 74137, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 03/31/2005 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: This has been reported previously, but was not on this updated email. Rent house that my husband and I have owned for many years. (2) Name of Business: Address: 3706 E. 103rd Place, Tulsa, OK, 74137, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 07/14/2022 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Owner of a beach rental property\n1530 N. Waccamaw Place, #1\nGarden City Beach, Murrell's Inlet, SC 29576

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-06-20
S63 Uniform Securities Agent State Law Examination 1989-12-01
  • S65 Uniform Investment Adviser Law Examination
    1997-06-20
  • S63 Uniform Securities Agent State Law Examination
    1989-12-01
Designations

View on SEC IAPD

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