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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 2016-05-09
  • TX RA
    APPROVED
    Since 2016-05-09

Branch Locations

1780 Hughes Landng Blvd. Suite 375, The Woodlands, TX 77380 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James & Associates, Inc. Woodlands TX 04/2016 Present
Previous Registrations
  • 2003-07-01 → 2016-05-05
    Houston, TX
    The Woodlands, TX
    Houston, TX
  • 1998-08-31 → 2003-07-01
    Prudential Equity Group, Llc
    Houston, TX
Other Businesses

(1)Name of Business: Rental Real Estate Address: 18602 Arlan Lake Dr, Spring, TX, 77388, United States Activity Type: Rental Real Estate Position/Title: Other Investment Related: Yes Start Date: 11/16/2018 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: My wife and I bought a house for our son to live in while in college at Texas A&M University in College Station & some of his friends will rent bedrooms in the house.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-08-31
S63 Uniform Securities Agent State Law Examination 1998-08-26
  • S65 Uniform Investment Adviser Law Examination
    1998-08-31
  • S63 Uniform Securities Agent State Law Examination
    1998-08-26

View on SEC IAPD

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