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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-07-12
  • FL RA
    APPROVED
    Since 2021-07-12

Branch Locations

600 Brickell Avenue Suites 1875 And 2250, Miami, FL 33131 • United States

Miami Beach, FL • 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
Wells Fargo Advisors Llc Miami FL 05/2009 11/2016
Wells Fargo Clearing Services, Llc Miami FL 11/2016 07/2021
Raymond James And Associates, Inc. Miami FL 07/2021 Present
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Miami, FL
  • 11/2016 → 07/2021
    Miami, FL
  • 07/2021 → Present
    Raymond James And Associates, Inc.
    Miami, FL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-05-05
  • S66 Uniform Combined State Law Examination
    2004-05-05
Other Names
  • Mitshel Kein Pantoja

View on SEC IAPD

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