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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2013-02-13
  • AL RA
    APPROVED
    Since 2013-02-13

Branch Locations

601 Madison Street, Huntsville, AL 35801 • United States

Disclosures

2 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James & Associates, Inc. Huntsville AL 02/2013 Present
Previous Registrations
  • 2006-03-31 → 2013-02-13
    Morgan Keegan & Company, Llc
    Huntsville, AL
  • 2003-07-01 → 2006-04-03
    Huntsville, AL
  • 1997-04-23 → 2003-07-01
    Prudential Equity Group, Llc
    Huntsville, AL
Other Businesses

(1)Name of Business: Address: 31 Ledge View Drive, Huntsville, AL, 35802, United States Activity Type: Rental Real Estate Position/Title: Investment Related: Yes Start Date: 09/14/2015 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: (2)Name of Business: Madison County Medical Alliance Address: 31 Ledge View Drive, Huntsville , AL, 35802, United States Activity Type: Non profit Position/Title: Officer - Treasurer Investment Related: Yes Start Date: 07/21/2021 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: My duties as a Treasurer will include 1. Working with the President to create a budget. 2. Collect yearly dues and money raised at fundraising event.3. Disbursement of the funds

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-01-20
S63 Uniform Securities Agent State Law Examination 1997-01-10
  • S65 Uniform Investment Adviser Law Examination
    1997-01-20
  • S63 Uniform Securities Agent State Law Examination
    1997-01-10
Designations

View on SEC IAPD

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