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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 2011-01-19
TN RA APPROVED 2009-03-05
  • TX RA
    APPROVED
    Since 2011-01-19
  • TN RA
    APPROVED
    Since 2009-03-05

Branch Locations

1100 Ridgeway Loop Road, Memphis, TN 38120 • 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, Inc. Memphis TN 02/2009 Present
Previous Registrations
Other Businesses

(1)Name of Business: Friends Of Big Hill Pond State Park Address: 9629 Fox Hill Circle North, Germantown, TN, 38139, United States Activity Type: Non profit Position/Title: Board Member Investment Related: Yes Start Date: 01/15/2019 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Run the checkbook and pay bills for the projects directly related to Big Hill Pond State Park

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-11-03
S63 Uniform Securities Agent State Law Examination 1997-10-29
  • S65 Uniform Investment Adviser Law Examination
    1997-11-03
  • S63 Uniform Securities Agent State Law Examination
    1997-10-29

View on SEC IAPD

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