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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-02-04
TX RA APPROVED_RES 2018-10-10
IN RA APPROVED 2006-08-10
  • FL RA
    APPROVED
    Since 2021-02-04
  • TX RA
    APPROVED_RES
    Since 2018-10-10
  • IN RA
    APPROVED
    Since 2006-08-10

Branch Locations

2625 Enterprise Drive, Anderson, IN 46013 • United States

Spring Hill, FL • United States

Disclosures

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.

  • Regulatory action No
  • 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 Anderson IN 08/2006 Present
Self Employment Indianapolis IN 02/2009 Present
Raymond James & Associates, Inc. Spring Hill FL 02/2022 Present
  • 08/2006 → Present
    Raymond James & Associates
    Anderson, IN
  • 02/2009 → Present
    Self Employment
    Indianapolis, IN
  • 02/2022 → Present
    Spring Hill, FL
Previous Registrations
  • 2003-06-06 → 2006-09-06
    Morgan Stanley Dw Inc.
    Indianapolis, IN
    Indianapolis, IN
  • 1998-12-10 → 2003-06-09
    Prudential Equity Group, Llc
    Indianapolis, IN
Other Businesses

(1)Name of Business: Address: 6080 Waverly Road, Weeki Wachee, FL, 34607, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 02/15/2023 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 have decided to rent out a vacation property I own in Florida

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-02-10
S63 Uniform Securities Agent State Law Examination 1997-01-10
  • S65 Uniform Investment Adviser Law Examination
    1997-02-10
  • S63 Uniform Securities Agent State Law Examination
    1997-01-10

View on SEC IAPD

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