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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2016-09-06
TX RA APPROVED_RES 2016-09-06
  • CA RA
    APPROVED
    Since 2016-09-06
  • TX RA
    APPROVED_RES
    Since 2016-09-06

Branch Locations

4000 Civic Center Dr Ste 500, San Rafael, CA 94903 • United States

101 California Street Suite 4500, San Francisco, CA 94111 • United States

Mill Valley, CA • 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
Deutsche Bank Securities Inc. New York NY 01/2001 09/2016
Raymond James & Associates, Inc. San Francisco CA 09/2016 Present
Previous Registrations
Other Businesses

(1)Name of Business: 10139 Palisades Drive, Truckee, CA - rental property Address: 67 Ashford Avenue, Mill Valley, CA, 96161, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 08/29/2018 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 (2)Name of Business: 33 Ashford, Mill Valley, CA - rental property Address: 67 Ashford Aveneu, Mill Valley, CA, 94941, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 08/28/2018 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: Kiddo! Address: 67 Ashford Avenue, Mill Valley, CA, 94941, United States Activity Type: Non profit Position/Title: Finance/Investment Committee Member Investment Related: Yes Start Date: 08/15/2022 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: School endowment - investment committee

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-11-12
  • S66 Uniform Combined State Law Examination
    2002-11-12
Other Names
  • Mindy A Fishel

View on SEC IAPD

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