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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_RES 2014-01-03
OH RA APPROVED 2013-11-15
  • TX RA
    APPROVED_RES
    Since 2014-01-03
  • OH RA
    APPROVED
    Since 2013-11-15

Branch Locations

400 E Business Way Suite 101, Cincinnati, OH 45241 • 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 Cincinnati OH 11/2013 Present
  • 11/2013 → Present
    Raymond James & Associates
    Cincinnati, OH
Previous Registrations
  • 2008-01-01 → 2013-11-19
    Cincinnati, OH
    Blue Ash, OH
  • 2001-01-17 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Blue Ash, OH
    Blue Ash, OH
    St. Louis, MO
Other Businesses

(1)Name of Business: 1819 Real estate LLC Address: 400 E. Business Way, Cincinnati, OH, 45241, United States Activity Type: Business Owner Position/Title: Partner Investment Related: No Start Date: 12/23/2022 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Entity created to sign lease agreement for new RJAS Branch\nOwner - financial advisor

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1997-08-12
  • S63 Uniform Securities Agent State Law Examination
    1997-08-12

View on SEC IAPD

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