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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2025-01-21 |
Branch Locations
1721 Nicholasville Road, Lexington, KY 40503 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fifth Third Securities, Inc. | Lexington | KY | 04/2012 | 03/2020 |
| Fifth Third Bank | Lexington | KY | 10/2009 | 03/2020 |
| Merrill Lynch, Pierce, Fenner & Smith Inc. | Lexington | KY | 03/2020 | 04/2022 |
| Bank Of America, N.A. | Lexington | KY | 03/2020 | 04/2022 |
| Cetera Investment Services Llc | St. Cloud | MN | 05/2022 | 01/2025 |
| Cetera Investment Advisers Llc | Lexington | KY | 05/2022 | 01/2025 |
| Raymond James Financial Services, Inc. | Lexington | KY | 01/2025 | Present |
| Raymond James Financial Services Advisors, Inc. | Lexington | KY | 01/2025 | Present |
| Cv Investments | Lexington | KY | 01/2025 | Present |
| Cumberland Valley National Bank | Lexington | KY | 05/2022 | Present |
(1)Name of Business: Cumberland Valley National Bank Address: 1721 Nicholasville Rd, Lexington, KY, 40503-1428, United States Activity Type: Bank or Credit Union Associate Position/Title: Associate/Employee Investment Related: Yes Start Date: 05/01/2022 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Financial Advisor affiliated with the bank. (2)Name of Business: CV Investments Address: 1721 Nicholasville Rd, Lexington, KY, 40503-1428, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 05/01/2022 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Financial Advisor.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-08-13 |
| S63 | Uniform Securities Agent State Law Examination | 2012-07-02 |
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