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James R Fink

Raymond James & Associates, Inc.

Greenwich, CT

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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2016-09-06
TX RA APPROVED_RES 2016-09-06
  • CT RA
    APPROVED
    Since 2016-09-06
  • TX RA
    APPROVED_RES
    Since 2016-09-06

Branch Locations

Three Pickwick Plaza 4Th Floor, Greenwich, CT 06830 • 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
Deutsche Bank Securities Inc. Baltimore MD 10/2003 09/2016
Raymond James & Associates, Inc. Greenwich CT 09/2016 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-01-25
  • S66 Uniform Combined State Law Examination
    2005-01-25
Other Names
  • James R Fink

View on SEC IAPD

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