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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-12-13
FL RA APPROVED 2023-11-13
  • TX RA
    APPROVED
    Since 2023-12-13
  • FL RA
    APPROVED
    Since 2023-11-13

Branch Locations

Fort Myers, FL • United States

14541 Hope Center Loop, Suite 101, Fort Myers, FL 33912 • 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
Morgan Stanley Smith Barney Llc Ft. Myers FL 06/2009 11/2023
Morgan Stanley Private Bank, N.A. New York NY 01/2015 11/2023
Raymond James & Associates Fort Myers FL 11/2023 Present
Morgan Stanley Private Bank, N.A New York NY 01/2015 Present
  • 06/2009 → 11/2023
    Morgan Stanley Smith Barney Llc
    Ft. Myers, FL
  • 01/2015 → 11/2023
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 11/2023 → Present
    Raymond James & Associates
    Fort Myers, FL
  • 01/2015 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
  • 2009-06-01 → 2023-11-15
    Fort Myers, FL
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Ft. Myers, FL
  • 1997-06-17 → 2007-04-02
    Morgan Stanley Dw Inc.
    Ft. Myers, FL
    Ft. Myers, FL
Other Businesses

RENTAL PROPERTY, OWNER; START DATE: 02/2016; INVESTMENT RELATED; FOR MYERS, FL; DURING BUSINESS HOURS- 0, AFTER BUSINESS HOURS- 0 *463873 - Southwest Free Pain Clinic; Investment related No; Fort Myers, Florida; Civic/Religious/Community; Board Member, Treasurer (proprietor, partner, officer, director, employee, trustee, agent); 12/2021 ; During business hours: 2; After business hours: 0; Business Development/Growth.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1997-07-01
S65 Uniform Investment Adviser Law Examination 1997-07-01
  • S63 Uniform Securities Agent State Law Examination
    1997-07-01
  • S65 Uniform Investment Adviser Law Examination
    1997-07-01

View on SEC IAPD

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