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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 2019-10-25
KY RA APPROVED 2019-10-02
  • TX RA
    APPROVED
    Since 2019-10-25
  • KY RA
    APPROVED
    Since 2019-10-02

Branch Locations

4969 Us Hwy 42 Suite 1600, Louisville, KY 40222 • 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
Merrill Lynch Louisville KY 10/2000 10/2019
Bank Of America, N.A. Louisville KY 05/2011 10/2019
Raymond James & Associates Louisville KY 09/2019 Present
  • 10/2000 → 10/2019
    Merrill Lynch
    Louisville, KY
  • 05/2011 → 10/2019
    Bank Of America, N.A.
    Louisville, KY
  • 09/2019 → Present
    Raymond James & Associates
    Louisville, KY
Previous Registrations
Other Businesses

(1) Name of Business: Middleton Properties, LLC Address: 6217 Innes Trace Rd, Louisville, KY, 40222, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 06/01/2005 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 rental property

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-12-28
  • S66 Uniform Combined State Law Examination
    2000-12-28

View on SEC IAPD

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