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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 2018-07-11
NC RA APPROVED 2013-02-13
  • TX RA
    APPROVED
    Since 2018-07-11
  • NC RA
    APPROVED
    Since 2013-02-13

Branch Locations

8015 West Kenton Circle Suite 105, Huntersville, NC 28078 • 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
Raymond James & Associates, Inc. Huntersville NC 02/2013 Present
Rcb Sports Huntersville NC 04/2014 12/2019
Arena Football League Charlotte NC 03/2018 02/2019
  • 02/2013 → Present
    Huntersville, NC
  • 04/2014 → 12/2019
    Rcb Sports
    Huntersville, NC
  • 03/2018 → 02/2019
    Arena Football League
    Charlotte, NC
Previous Registrations
  • 2009-05-01 → 2013-02-13
    Morgan Keegan & Company, Llc
    Huntersville, NC
    Charlotte, NC
  • 2006-02-21 → 2009-05-20
    Cornelius, NC
    New York, NY
    Cornelius, NC
  • 2002-11-08 → 2006-02-21
    Legg Mason Wood Walker, Incorporated
    Lake Norman, NC
  • 1998-05-29 → 2002-11-15
    Scott & Stringfellow, Llc
    Charlotte, NC
Other Businesses

(1) Name of Business: Address: 113 E Blue Ridge St, Stuart , VA, 24171, United States Activity Type: Rental Real Estate Position/Title: Investment Related: Yes Start Date: 06/01/2025 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: (2) Name of Business: Denver United Methodist Church Address: 3910 North, NC- Hwy 16, Denver, NC, 28037, United States Activity Type: Non profit Position/Title: Finance/Investment Committee Member Investment Related: Yes Start Date: 01/27/2025 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Have been asked to serve on finance committee. My role is purely as an "auditor" to oversee the church accounts which is controlled by employee (treasurer) of church.\n\nI will NOT need to be a signer on any bank account nor will I serve in any capacity on an investment advisory role.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-05-28
S63 Uniform Securities Agent State Law Examination 1998-05-08
  • S65 Uniform Investment Adviser Law Examination
    1998-05-28
  • S63 Uniform Securities Agent State Law Examination
    1998-05-08
Designations

View on SEC IAPD

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