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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 2023-09-29
SD RA APPROVED 2023-09-15
  • TX RA
    APPROVED
    Since 2023-09-29
  • SD RA
    APPROVED
    Since 2023-09-15

Branch Locations

5800 South Remington Place, Sioux Falls, SD 57108 • 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
Stifel Nicolaus & Co Inc Sioux Falls SD 03/2016 09/2023
Raymond James & Associates, Inc. Sioux Falls SD 09/2023 Present
Previous Registrations
Other Businesses

1. Ronald McDonald House South Dakota; 825 S Lake Ave, Sioux Falls, SD 57106; Provide home-like comfort, support, and care for families during child illness; Board of Directors; Attend quarterly meetings and various activities; 01/03/2022; 6 Hours per Quarter; Not During Securities Trading Hours; Not Investment-Related.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2003-11-03
S65 Uniform Investment Adviser Law Examination 2000-10-30
  • S63 Uniform Securities Agent State Law Examination
    2003-11-03
  • S65 Uniform Investment Adviser Law Examination
    2000-10-30

View on SEC IAPD

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