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880 Carillon Parkway, St. Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-02-05 |
| TX | RA | APPROVED | 2017-04-25 |
| KY | RA | APPROVED | 2017-03-13 |
Branch Locations
4969 Us Hwy 42 Suite 1600, Louisville, KY 40222 • United States
Treasure Island, FL • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Louisville | KY | 12/2007 | 03/2017 |
| Bank Of America, N.A. | Louisville | KY | 04/2010 | 03/2017 |
| Raymond James & Associates | Louisville | KY | 03/2017 | Present |
| Raymond James & Associates, Inc. | New Smyrna Beach | FL | 03/2021 | Present |
(1)Name of Business: Address: Activity Type: Loans - Personal to and from individuals Position/Title: Borrower Investment Related: No Start Date: 10/27/2022 Hours per month devoted to this business: Hours per month devoted to this business during trading hours: Description of duties: My parents want to help me with the expenses incurred for my son's MBA tuition. They plan to use their SBL to move funds to their own external RJ checking account at IBM Employees Credit Union for this purpose. They intend on sending me a check from this external RJ account to be deposited into my external Stockyards checking account and no funds will be deposited into any RJ account. (2)Name of Business: The Bennett Group, LLC Address: 12042 Hunting Crest, Prospect, KY, 40059, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 01/01/2017 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: None. (3)Name of Business: U Racing Stable, LLC Address: 10355 Paradise Blvd. #715, Treasure Island, FL, 33706, United States Activity Type: Business Owner Position/Title: Other Investment Related: Yes Start Date: 02/11/2025 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I am not involved with this business. My husband and his partner are involved.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2002-04-09 |
| S65 | Uniform Investment Adviser Law Examination | 2002-04-09 |
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