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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2022-04-28
  • NC RA
    APPROVED
    Since 2022-04-28

Branch Locations

115 E Center St, Lexington, NC 27292 • 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
Wells Fargo Advisors, Llc Winston-Salem NC 12/2012 11/2016
Wells Fargo Clearing Services, Llc Winston-Salem NC 11/2016 04/2022
Raymond James Financial Services, Inc. Lexington NC 04/2022 Present
Raymond James Financial Services Advisors, Inc. Lexington NC 04/2022 Present
Pinnacle Financial Partners/Pinnacle Bank Lexington NC 04/2022 Present
Pinnacle Asset Management Lexington NC 04/2022 Present
  • 12/2012 → 11/2016
    Wells Fargo Advisors, Llc
    Winston-Salem, NC
  • 11/2016 → 04/2022
    Winston-Salem, NC
  • 04/2022 → Present
    Raymond James Financial Services, Inc.
    Lexington, NC
  • 04/2022 → Present
    Lexington, NC
  • 04/2022 → Present
    Pinnacle Financial Partners/Pinnacle Bank
    Lexington, NC
  • 04/2022 → Present
    Pinnacle Asset Management
    Lexington, NC
Previous Registrations
  • 2012-12-14 → 2022-05-04
    Lexington, NC
    Winston Salem, NC
    Thomasville, NC
    Thomasville, NC
    Charlotte, NC
    High Point, NC
    Winston Salem, NC
    Thomasville, NC
    Lexington, NC
  • 2011-06-06 → 2012-12-17
    Bb&T Investment Services, Inc.
    Greenboro, NC
    Charlotte, NC
    Greensboro, NC
    Greensboro, NC
    Greensboro, NC
    High Point, NC
    High Point, NC
    Jamestown, NC
  • 2008-05-21 → 2011-06-03
    Albemarle, NC
    Albemarle, NC
    New London, NC
    St Louis, MO
Other Businesses

(1)Name of Business: Pinnacle financial partners/Pinnacle bank Address: 115 E Center St, Lexington, NC, 27292-3311, United States Activity Type: Bank or Credit Union Associate Position/Title: Associate/Employee Investment Related: Yes Start Date: 04/28/2022 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 21-40 Description of duties: financial advisor building relationships with bank partners.\nmeet with clients to discuss financial goals and objectives \nmanage client investment accounts. \nseek prospects for the bank and PAM offerings Name of Business: Pinnacle Asset management Address: Lexington, NC, 27292-3311, United States - Activity Type: Support Company - Non Owner - Position/Title: Associate/Employee - Investment Related: No - Start Date: 04/28/2022 Hours per month devoted to this business: 81+ - Hours per month devoted to this business during trading hours: 21-40 - Description of duties: speak with clients about investment needs manage investment accounts and discuss goals and objectives with clients

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-05-09
  • S66 Uniform Combined State Law Examination
    2008-05-09
Other Names
  • Joshua Mark Hamm

View on SEC IAPD

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