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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 2026-04-07
IN RA APPROVED 2025-12-03
  • TX RA
    APPROVED
    Since 2026-04-07
  • IN RA
    APPROVED
    Since 2025-12-03

Branch Locations

421 North Pennsylvania Street Suite 201, Indianapolis, IN 46204 • 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
Ubs Financial Services, Inc Indianapolis IN 07/2015 11/2025
Raymond James & Associates, Inc. Indianapolis IN 11/2025 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-12-08
  • S66 Uniform Combined State Law Examination
    2007-12-08
Other Names
  • Kristin L Smith

View on SEC IAPD

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