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Current Employers
Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2022-06-29
  • TN RA
    APPROVED
    Since 2022-06-29

Branch Locations

241 Brooklawn St, Knoxville, TN 37934 • 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
First Horizon Advisors, Inc. Maryville TN 07/2010 06/2020
Raymond James Financial Services, Inc. Knoxville TN 06/2020 Present
Raymond James Financial Services Advisors, Inc. Knoxville TN 06/2022 Present
Pinnacle Financial Partners/Pinnacle Bank Knoxville TN 04/2021 Present
First Horizon Advisors, Inc. Maryville TN 06/2020 06/2022
Pinnacle Financial Partners / Pinnacle Bank Knoxville TN 06/2022 Present
  • 07/2010 → 06/2020
    First Horizon Advisors, Inc.
    Maryville, TN
  • 06/2020 → Present
    Raymond James Financial Services, Inc.
    Knoxville, TN
  • 06/2022 → Present
    Knoxville, TN
  • 04/2021 → Present
    Pinnacle Financial Partners/Pinnacle Bank
    Knoxville, TN
  • 06/2020 → 06/2022
    First Horizon Advisors, Inc.
    Maryville, TN
  • 06/2022 → Present
    Pinnacle Financial Partners / Pinnacle Bank
    Knoxville, TN
Previous Registrations
  • 2016-02-10 → 2020-06-30
    First Horizon Advisors, Inc.
    Maryville, TN
    Maryville, TN
    Maryville, TN
    Maryville, TN
Other Businesses

1) Name of Business: Pinnacle Asset Management Address: 231 Jackson Square, Oak Ridge, TN, 37830, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 06/30/2022 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 2-10 Description of duties: \nFinancial Advisor - build relationships with Pinnacle partners, seek prospects for bank and PAM offerings, \nmeet with clients to discuss financial goals and objectives, manage client investment accounts.\n (2) Name of Business: The Gateway to Independence Address: 520 Farmview Dr, Maryville, TN, 37804, United States Activity Type: Non profit Position/Title: Officer - Treasurer Investment Related: Yes Start Date: 01/01/2019 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 11-20 Description of duties: Treasurer through Quick Books but do not write checks and not listed on bank accounts, just review monthly.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-02-10
S63 Uniform Securities Agent State Law Examination 2007-08-11
  • S65 Uniform Investment Adviser Law Examination
    2016-02-10
  • S63 Uniform Securities Agent State Law Examination
    2007-08-11
Other Names
  • Kristen Baker
  • Kristen Delia Baker
  • Kristen D Baker

View on SEC IAPD

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