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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 2021-04-15
FL RA APPROVED 2018-05-07
  • TX RA
    APPROVED_RES
    Since 2021-04-15
  • FL RA
    APPROVED
    Since 2018-05-07

Branch Locations

2 N. Tamiami Trail Suite 804, Sarasota, FL 34236 • 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
Ubs Financial Services Inc Sarasota FL 03/2009 05/2018
Raymond James And Associates Sarasota FL 05/2018 Present
Previous Registrations
Other Businesses

1. HOPE KIDS COMMUNITY / 1215 MANATEE AVE W. BRADENTON,FL 34205 / COMPANY/ CHARITIES, CULTURAL, EDUCATIONAL & POLITICAL ORGANISATIONS / PROVIDE HOMELESS AND NEEDY CHILDREN BACK TO SCHOOL ESSENTIALS / MEMBER OF BOARD OF DIRECTORS / / MONTHLY BOARD MEETINGS, ORGANIZE SUPPLIES AND DELIVER TO CHILDREN AND FAMILIES ON DAY OF HOPE ANNUAL EVENT. / START DATE 41640 43465 / MONTHLY BOARD MEETING 3-6 PM 2. Uncommon Kids / 2926 Hyde Park Street Sarasota,FL 34239 / Company/ Charities, Cultural, Educational & Political Organisations / improve the lives of homeless and needy children and their families / Officer / / Attend monthly meeting and monthly Fun Day / Start Date 08/01/2016/ End Date 12/31/2019/ 43830 / Hours per month devoted to this business: 5 3. The Shore Church - Sarasota, FL Nature of the Business: Trustee/Successor Trustee Position/Title: Trustee/Successor Trustee Investment Related:Yes Start Date: 01/01/2016 Hours per month devoted to this business: 1 Hours per month devoted to this business during trading hours: 0 Description of duties: I serve as a trustee for The Shore Church to assist in establishing the Pastor's salary and annual bonus, review quarterly financial information and set direction for long-term planning.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-10-20
S63 Uniform Securities Agent State Law Examination 1998-11-05
  • S65 Uniform Investment Adviser Law Examination
    1999-10-20
  • S63 Uniform Securities Agent State Law Examination
    1998-11-05
Other Names
  • Dean Dougals Dancer

View on SEC IAPD

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