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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_RES 2015-06-01
VT RA APPROVED 2015-05-05
  • TX RA
    APPROVED_RES
    Since 2015-06-01
  • VT RA
    APPROVED
    Since 2015-05-05

Branch Locations

40 Main Street Suite 400, Burlington, VT 05401 • United States

Williston, VT • 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
Raymond James & Associates, Inc. Barre VT 05/2015 Present
Previous Registrations
  • 2007-02-09 → 2015-05-14
    S. Burlington, VT
    Weehawken, NJ
    Burlington, VT
    South Burlington, VT
  • 2006-10-30 → 2007-02-09
    Keybanc Capital Markets Inc.
    Burlington, VT
    Burlington, VT
Other Businesses

(1)Name of Business: raisedLIFE, LLC Address: 318 Butternut Road, Williston, VT, 05495, United States Activity Type: Business Owner Position/Title: Partner Investment Related: No Start Date: 06/30/2022 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Orchestrate structure and finances for business.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-10-26
S63 Uniform Securities Agent State Law Examination 2001-04-26
  • S65 Uniform Investment Adviser Law Examination
    2006-10-26
  • S63 Uniform Securities Agent State Law Examination
    2001-04-26

View on SEC IAPD

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