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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2025-05-20
NJ RA APPROVED 2025-05-16
  • PA RA
    APPROVED
    Since 2025-05-20
  • NJ RA
    APPROVED
    Since 2025-05-16

Branch Locations

740 Hamilton Street Suite 220, Allentown, PA 18101 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Llc Morristown NJ 06/2009 12/2023
Raymond James & Associates Allentown PA 04/2025 Present
Unemployed Columbia NJ 12/2023 04/2025
  • 06/2009 → 12/2023
    Morgan Stanley Smith Barney Llc
    Morristown, NJ
  • 04/2025 → Present
    Raymond James & Associates
    Allentown, PA
  • 12/2023 → 04/2025
    Unemployed
    Columbia, NJ
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-07-22
S63 Uniform Securities Agent State Law Examination 2001-08-06
  • S66 Uniform Combined State Law Examination
    2003-07-22
  • S63 Uniform Securities Agent State Law Examination
    2001-08-06
Other Names
  • Kelly Patricia James
  • Kelly Patricia Allen

View on SEC IAPD

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