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Ryan Warner Rothermund

Raymond James & Associates, Inc.

Scottsdale, AZ

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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 2024-09-10
AZ RA APPROVED 2021-10-01
  • TX RA
    APPROVED
    Since 2024-09-10
  • AZ RA
    APPROVED
    Since 2021-10-01

Branch Locations

8501 N. Scottsdale Road Suite 250, Scottsdale, AZ 85253 • 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
Morgan Stanley Smith Barney Scottsdale AZ 03/2006 Present
  • 03/2006 → Present
    Morgan Stanley Smith Barney
    Scottsdale, AZ
Previous Registrations
  • 2009-06-01 → 2012-09-21
    Morgan Stanley
    Scottsdale, AZ
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Scottsdale, AZ
  • 2006-06-13 → 2007-04-02
    Morgan Stanley Dw Inc.
    Scottsdale, AZ
Other Businesses

(1)UNITED FOOD BANK - MESA, AZ, FINANCE COMMITTEE

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-06-09
S63 Uniform Securities Agent State Law Examination 2004-10-14
  • S65 Uniform Investment Adviser Law Examination
    2006-06-09
  • S63 Uniform Securities Agent State Law Examination
    2004-10-14
Designations
Other Names
  • Ryan Kerns
  • Ryan Warner Kerns

View on SEC IAPD

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