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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
AR RA APPROVED 2009-02-26
  • AR RA
    APPROVED
    Since 2009-02-26

Branch Locations

Maumelle, AR • United States

12921 Cantrell Road Suite 400, Little Rock, AR 72223 • 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. Little Rock AR 01/2009 Present
Previous Registrations
  • 2007-04-02 → 2009-02-02
    Morgan Stanley & Co. Llc
    Little Rock, AR
  • 2006-07-18 → 2007-04-02
    Morgan Stanley Dw Inc.
    Little Rock, AR
  • 2002-01-22 → 2004-08-26
    Morgan Keegan & Company, Llc
    Little Rock, AR
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1998-03-23
  • S66 Uniform Combined State Law Examination
    1998-03-23

View on SEC IAPD

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