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880 Carillon Parkway, St. Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2025-12-03 |
| TX | RA | APPROVED | 2020-05-22 |
| FL | RA | APPROVED | 2019-05-14 |
| NC | RA | APPROVED | 2019-05-13 |
Branch Locations
537 Market Street, Ste. 105 1St & 3Rd Floors, Chattanooga, TN 37402 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley | Gainesville | FL | 02/2012 | 08/2017 |
| Morgan Stanley Private Bank, N.A. | New York | NY | 01/2015 | 05/2019 |
| Morgan Stanley | Charlotte | NC | 01/2017 | 08/2017 |
| Morgan Stanley | Greensboro | NC | 08/2017 | 05/2019 |
| Raymond James & Associates, Inc. | Greensboro | NC | 05/2019 | 10/2021 |
| Raymond James & Associates, Inc. | Soddy Daisy | TN | 10/2021 | Present |
(1)Name of Business: Barfield Address: 6012 Downfield Wood Dr, Charlotte, NC, 28269, United States Activity Type: Control Person Position/Title: Health care surrogate (Named Only), Trustee (Named Only), Power of Attorney (Named Only) Investment Related: Yes Start Date: 04/13/2023 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Acting as POA, trustee and medical surrogate for Carl Barfield, client of RJ.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-08-14 |
| S63 | Uniform Securities Agent State Law Examination | 2012-07-13 |
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