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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2016-06-07
  • SC RA
    APPROVED
    Since 2016-06-07

Branch Locations

1445 East Main Street, Spartanburg, SC 29307 • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James Financial Services Spartanburg SC 03/2000 Present
Raymond James Financial Services Advisors Inc. Spartanburg SC 06/2016 Present
Twd Of Spartansburg Llc Spartansburg SC 10/2017 Present
Other Businesses

(1)Name of Business: TWD of Spartanburg LLC Address: 1445 E Main St, Spartanburg, SC, 29307, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 10/01/2017 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: sole owner

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-05-04
S63 Uniform Securities Agent State Law Examination 1998-03-11
  • S65 Uniform Investment Adviser Law Examination
    2016-05-04
  • S63 Uniform Securities Agent State Law Examination
    1998-03-11
Other Names
  • Tom Dixon

View on SEC IAPD

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