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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 2026-03-08
UT RA APPROVED 2012-10-29
  • TX RA
    APPROVED_RES
    Since 2026-03-08
  • UT RA
    APPROVED
    Since 2012-10-29

Branch Locations

13907 S Minuteman Dr Suite 200, Draper, UT 84020 • United States

Hinckley, UT • 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 Draper UT 10/2012 Present
Raymond James Financial Services Advisors Inc. Draper UT 10/2012 Present
Johnson Investment Advisory Services Llc Draper UT 10/2012 Present
Previous Registrations
  • 2009-06-01 → 2012-11-06
    Salt Lake City, UT
    Salt Lake City, UT
    Salt Lake City, UT
    Salt Lake City, UT
    Salt Lake City, UT
  • 2009-03-18 → 2009-06-01
    Morgan Stanley & Co. Llc
    Salt Lake City, UT
Other Businesses

(1)Name of Business: Dark Horse Ranch LLC Address: 7075 W 4500 N, Hinckley, UT, 84635, United States Activity Type: Agriculture/Farming Position/Title: Partner Investment Related: No Start Date: 08/31/2020 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 0-1 Description of duties: LLC created to develop a ranch to raise beef cows & horses with grade bloodlines. (2)Name of Business: Johnson Investment Advisory Services, LLC Address: 13907 S Minuteman Dr Ste 200, Draper, UT, 84020, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 10/26/2012 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 2-10 Description of duties: Branch Delegate

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-03-17
S63 Uniform Securities Agent State Law Examination 1996-12-07
  • S66 Uniform Combined State Law Examination
    2009-03-17
  • S63 Uniform Securities Agent State Law Examination
    1996-12-07
Other Names
  • Patricia Halterman
  • Trish H Thomas
  • Patricia Thomas
  • Patricia Halterman Thomas

View on SEC IAPD

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