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Kimberly Ervin James

Raymond James & Associates, Inc.

Lincolnton, NC

St. Petersburg, FL

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Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2022-02-03
  • NC RA
    APPROVED
    Since 2022-02-03

Branch Locations

Lincolnton, NC • United States

880 Carillon Parkway, St. Petersburg, FL 33716 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Charlotte NC 10/2009 01/2022
Raymond James & Associates, Inc. Lincolnton NC 01/2022 Present
Raymond James Financial Services, Inc. Lincolnton NC 09/2023 Present
Raymond James Financial Servies Advisor's Inc. Lincolnton NC 09/2023 Present
Previous Registrations
  • 2009-10-23 → 2022-01-18
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Lincolnton, NC
    Charlotte, NC
    Charlotte, NC
    New York, NY
    New York, NY
    New York, NY
    New York, NY
    Charlotte, NC
  • 2007-10-29 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Charlotte, NC
  • 2006-07-06 → 2007-10-05
    Stephens
    Columbia, SC
    Charlotte, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-07-05
S63 Uniform Securities Agent State Law Examination 2005-09-09
  • S65 Uniform Investment Adviser Law Examination
    2006-07-05
  • S63 Uniform Securities Agent State Law Examination
    2005-09-09
Other Names
  • Kim Ervin
  • Kimberly Michelle Ervin
  • Kimberly Michelle Ervin

View on SEC IAPD

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