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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2009-01-02
  • NC RA
    APPROVED
    Since 2009-01-02

Branch Locations

108 State Street Suite 110, Greensboro, NC 27408 • 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
Raymond James Financial Services, Inc. Greensboro NC 01/2004 Present
Raymond James Financial Services Advisors, Inc Greensboro NC 01/2009 Present
Guilford County Greensboro NC 10/2022 Present
Other Businesses

(1)Name of Business: Friends of the Mountains-to-Sea Trail Address: 3509 Haworth Drive, Suite 210, Raleigh, NC, 27609, United States Activity Type: Non profit Position/Title: Officer - Treasurer, Board Member Investment Related: Yes Start Date: 01/01/2023 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Treasurer's primary responsibilities include attending quarterly board meetings and an annual meeting to review financial statements with the board and members of the organization. (2)Name of Business: Guilford County Address: 3911 Yanceyville Street, Greensboro, NC, 27405, United States Activity Type: Part-Time Activity/Employment Position/Title: Other Investment Related: No Start Date: 10/20/2022 Hours per month devoted to this business: 21-40 Hours per month devoted to this business during trading hours: 11-20 Description of duties: Non-partisan poll worker position for home county to help registered voters obtain ballots and vote. (3)Name of Business: Stern Susan; Susan Stern Address: 108 State Street, Greensboro, NC, 27408, United States Activity Type: Control Person Position/Title: Other (Named Only) Investment Related: Yes Start Date: 11/11/2016 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Successor co-trustee with grantor's sister

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-02-01
S63 Uniform Securities Agent State Law Examination 2001-12-05
  • S65 Uniform Investment Adviser Law Examination
    2005-02-01
  • S63 Uniform Securities Agent State Law Examination
    2001-12-05

View on SEC IAPD

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