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Current Employers
Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2020-06-03
  • MO RA
    APPROVED
    Since 2020-06-03

Branch Locations

101 S. Hanley Road Suite 700, Saint Louis, MO 63105 • 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
Ubs Financial Services Inc. St Louis MO 06/2000 06/2020
Raymond James Financial Services, Inc. Clayton MO 06/2020 Present
Raymond James Financial Services Advisors, Inc. Clayton MO 06/2020 Present
The Mike Brown Financial Group Clayton MO 06/2020 09/2021
Previous Registrations
Other Businesses

(1)Name of Business: Brown Family Wealth Advisors Address: 101 S. Hanley Avenue, Suite 700, Clayton, MO, 63105, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 10/01/2021 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Brown Family Wealth Advisors co-owner, financial advisor (2)Name of Business: Old North State Investments LLC Address: 246 W Jewel Ave, Kirkwood, MO, 63122-2700, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 06/03/2020 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Officer - CFO Mike Brown, Adam Brown, and I are each one-third owners of this entity (3)Name of Business: Old North State Investments, LLC Address: 165 N Meramec Ave Ste 200, Clayton, MO, 63105, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 06/03/2020 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Brown Family Wealth Advisors Co-owner Financial Advisor

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-12-04
S63 Uniform Securities Agent State Law Examination 1997-09-17
  • S65 Uniform Investment Adviser Law Examination
    1997-12-04
  • S63 Uniform Securities Agent State Law Examination
    1997-09-17
Other Names
  • Tammy Leigh Thompson
  • Tammie Leigh Thompson

View on SEC IAPD

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