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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-06-14 |
| KY | RA | APPROVED | 2019-10-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith, Inc. | Pikeville | KY | 09/2006 | 10/2019 |
| Bank Of America, N.A. | Pikeville | KY | 04/2011 | 10/2019 |
| Raymond James Financial Services, Inc. | Pikeville | KY | 10/2019 | Present |
| Raymond James Financial Services Advisors, Inc. | Pikeville | KY | 10/2019 | Present |
| University Of Pikeville | Pikeville | KY | 09/2011 | Present |
(1)Name of Business: Legacy Financial, LLC Address: 3822 N Mayo Trl, Pikeville, KY, 41501, United States Activity Type: Support Company Position/Title: Partner Investment Related: No Start Date: 10/11/2019 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: I talk care of the business administration. (2)Name of Business: PW Management, Inc. Address: 3822 N Mayo Trl, Pikeville, KY, 41501, United States Activity Type: Support Company Position/Title: Owner/Proprietor Investment Related: No Start Date: 03/30/2020 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: This is the company that we were advised by RJ business consulting group to open to receive our commissions from RJ.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-10-02 |
| S63 | Uniform Securities Agent State Law Examination | 1997-09-23 |
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