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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2016-12-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cetera Investment Services Llc | Bryan | TX | 12/2005 | 12/2016 |
| Prosperity Bank | Bryan | TX | 12/2005 | Present |
| Cetera Investment Advisers Llc | Bryan | TX | 01/2014 | 12/2016 |
| Raymond James Financial Services, Inc. | Bryan | TX | 12/2016 | Present |
| Raymond James Financial Services Advisors Inc. | Bryan | TX | 12/2016 | Present |
| Prosperity Private Investments | Bryan | TX | 08/2019 | Present |
(1)Name of Business: Prosperity Bank Address: 2807 S Texas Ave, Bryan, TX, 77802, United States Activity Type: Bank or Credit Union Associate Position/Title: Associate/Employee Investment Related: Yes Start Date: 12/01/2005 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Day to day responsibilities of being a bank officer (2)Name of Business: Prosperity Private Investments Address: 2807 S Texas Ave, Bryan, TX, 77802, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 08/07/2019 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: financial advisor
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-06-17 |
| S63 | Uniform Securities Agent State Law Examination | 2002-11-06 |
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