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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2016-06-16
  • NC RA
    APPROVED
    Since 2016-06-16

Branch Locations

206 South Market Street, Madison, NC 27025 • 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
Raymond James Financial Services, Inc. Madison NC 06/2016 Present
Raymond James Financial Services Advisors Inc. Madison NC 06/2016 Present
Living Stone, Llc Madison NC 06/2016 Present
Previous Registrations
Other Businesses

(1)Name of Business: Living Stone, LLC Address: 206 S Market St, Madison, NC, 27025, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 06/21/2016 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Financial Advisor/ owner (2)Name of Business: Proverbs 3: 5 & 6 LLC Address: 206 S Market St, Madison, NC, 27025, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 06/10/2016 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I own the office where the branch is located. There is no other business in the building. The Branch pays a lease to me through a LLC account set up in the branch. no responsibilities or time involved

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-12-12
S63 Uniform Securities Agent State Law Examination 1998-01-08
  • S66 Uniform Combined State Law Examination
    2007-12-12
  • S63 Uniform Securities Agent State Law Examination
    1998-01-08
Other Names
  • Cathy Smith
  • Catherine Smith
  • Catherine Barker Smith
  • Catherine B. Smith

View on SEC IAPD

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