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Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2013-02-13
KY RA APPROVED 2013-02-13
  • IL RA
    APPROVED
    Since 2013-02-13
  • KY RA
    APPROVED
    Since 2013-02-13

Branch Locations

4969 Us Hwy 42 Suite 1600, Louisville, KY 40222 • 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James & Associates, Inc. Louisville KY 02/2013 Present
Previous Registrations
  • 2004-06-09 → 2013-02-13
    Morgan Keegan & Company, Llc
    Louisville, KY
    Louisville, , KY
  • 2000-05-02 → 2003-02-04
    Prudential Equity Group, Llc
    Louisville, KY
Other Businesses

(1)Name of Business: Address: 3801 Willis Avenue, Louisville, KY, 40207, United States Activity Type: Business Owner Position/Title: Partner Investment Related: No Start Date: 01/01/2026 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I will not have any direct responsibilities with the daily operations of the business. My wife is considering starting a restaurant whereby I would be her partner but not working in the business. (2)Name of Business: The Cookie Cabin Address: 3801 Willis Avenue, Louisville, KY, 40207, United States Activity Type: Business Owner Position/Title: Partner Investment Related: No Start Date: 10/01/2015 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: My wife, Julie Erwin and I have sold our mobile food business and opening a deli in March 2026. The entity will remain under the Cookie Cabin as a S Corp. However, the business will operate DBA The Deli.\nMy wife runs the day-to-day operations of this business. I have no operating responsibilities. I am simply part owner of this business.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-03-29
S63 Uniform Securities Agent State Law Examination 2000-02-15
  • S65 Uniform Investment Adviser Law Examination
    2000-03-29
  • S63 Uniform Securities Agent State Law Examination
    2000-02-15
Other Names
  • Bruce M. White

View on SEC IAPD

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