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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 2024-04-08
AZ RA APPROVED 2024-03-28
  • TX RA
    APPROVED
    Since 2024-04-08
  • AZ RA
    APPROVED
    Since 2024-03-28

Branch Locations

14850 N. Scottsdale Road Suite 155, Scottsdale, AZ 85254 • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Rbc Capital Markets, Llc Scottsdale AZ 02/2022 03/2024
Farm Bureau Financial Services Phoenix AZ 12/2019 02/2022
National Bank Of Arizona Phoenix AZ 09/2015 01/2020
City National Bank Scottsdale AZ 08/2022 03/2024
Raymond James & Associates, Inc Scottsdale AZ 03/2024 Present
  • 02/2022 → 03/2024
    Scottsdale, AZ
  • 12/2019 → 02/2022
    Farm Bureau Financial Services
    Phoenix, AZ
  • 09/2015 → 01/2020
    National Bank Of Arizona
    Phoenix, AZ
  • 08/2022 → 03/2024
    City National Bank
    Scottsdale, AZ
  • 03/2024 → Present
    Scottsdale, AZ
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-07-01
S63 Uniform Securities Agent State Law Examination 2000-12-12
  • S66 Uniform Combined State Law Examination
    2022-07-01
  • S63 Uniform Securities Agent State Law Examination
    2000-12-12
Other Names
  • Patricia Tracy Sammons

View on SEC IAPD

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