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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 2024-07-25
CT RA APPROVED 2024-04-29
  • TX RA
    APPROVED
    Since 2024-07-25
  • CT RA
    APPROVED
    Since 2024-04-29

Branch Locations

Killingworth, CT • United States

265 Church Street Suite 401, New Haven, CT 06510 • 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 New Haven CT 05/2008 04/2024
Raymond James & Associates, Inc New Haven CT 04/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-06-16
S63 Uniform Securities Agent State Law Examination 1998-02-25
  • S65 Uniform Investment Adviser Law Examination
    1999-06-16
  • S63 Uniform Securities Agent State Law Examination
    1998-02-25

View on SEC IAPD

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