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Current Employers
Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-03-20
MO RA APPROVED 2017-03-08
  • TX RA
    APPROVED_RES
    Since 2017-03-20
  • MO RA
    APPROVED
    Since 2017-03-08

Branch Locations

9 Westowne St, Kansas City, MO 64068 • 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
Wells Fargo Advisors Financial Network Llc Liberty MO 05/2010 02/2017
Raymond James Financial Services, Inc. Liberty MO 02/2017 Present
Raymond James Financial Services Advisors Inc. Kansas City MO 03/2017 Present
Holloway & Harman Capital Management Liberty MO 10/2017 Present
Holloway, Harman & Associates Liberty MO 12/2017 Present
Previous Registrations
Other Businesses

(1)Name of Business: Holloway & Harman Capital Management Address: 9 Westowne Center, Liberty, MO, 64068, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 10/16/2017 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: This was the name of our business before we associated with RJFS. We keep it active due to bills and checking accounts that are in that name. (2)Name of Business: Holloway, Harman & Associates Address: 9 Westowne Center, Liberty, MO, 64068, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 12/07/2017 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: DBA Holloway, Harman & Associates under the RJFS platform

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2001-09-20
  • S63 Uniform Securities Agent State Law Examination
    2001-09-20
Designations

View on SEC IAPD

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