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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2016-10-10
  • TN RA
    APPROVED
    Since 2016-10-10

Branch Locations

3322 West End Avenue Suite 630, Nashville, TN 37203 • 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
Ubs Financial Services Inc. Nashville TN 08/2000 09/2016
Raymond James Financial Services, Inc. Nashville TN 09/2016 Present
Grahampton Wealth Management Nashville TN 09/2016 Present
Raymond James Financial Services Advisors Inc. Nashville TN 10/2016 Present
Previous Registrations
Other Businesses

(1)Name of Business: Grahampton Wealth Management Address: 3322 W End Ave Ste 630, Nashville, TN, 37203, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 09/30/2016 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Office manager

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-07-25
  • S66 Uniform Combined State Law Examination
    2001-07-25
Other Names
  • Kathy Diane Dixon
  • Kathy D Barrett
  • Kathy D D Barrett

View on SEC IAPD

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