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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-05-07
CT RA APPROVED 2023-04-27
  • FL RA
    APPROVED
    Since 2025-05-07
  • CT RA
    APPROVED
    Since 2023-04-27

Branch Locations

1 Mercantile Street Suite 720, Worcester, MA 01608 • United States

201 E Las Olas Blvd Suite 1630, Fort Lauderdale, FL 33301 • 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
Bank Of America, N.A. Worcester MA 10/2004 04/2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated Worcester MA 10/2009 04/2023
Raymond James & Associates, Inc Worcester MA 04/2023 Present
Previous Registrations
  • 2009-11-05 → 2023-04-20
    Worcester, MA
    West Boylston, MA
    Sutton, MA
    West Boylston, MA
    Worcester, MA
  • 2004-10-20 → 2009-10-23
    Banc Of America Investment Services, Inc.
    West Boylston, MA
    Whitinsville, MA
    Sutton, MA
    West Boylston, MA
    Worcester, MA
    Worcester, MA
  • 2004-08-30 → 2004-10-20
    Quick & Reilly, Inc.
    Worcester, MA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-08-25
S66 Uniform Combined State Law Examination 2000-12-22
  • S65 Uniform Investment Adviser Law Examination
    2004-08-25
  • S66 Uniform Combined State Law Examination
    2000-12-22

View on SEC IAPD

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