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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_RES 2022-10-06
IL RA APPROVED 2010-04-05
  • TX RA
    APPROVED_RES
    Since 2022-10-06
  • IL RA
    APPROVED
    Since 2010-04-05

Branch Locations

4443 Marsh Hawk Drive, Loves Park, IL 61111 • United States

2000 Center Drive Suite East B219, Hoffman Estates, IL 60192 • United States

Loves Park, IL • 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
Raymond James & Associates, Inc. Schaumburg IL 04/2010 Present
Finra Chicago IL 10/2007 Present
Previous Registrations
Other Businesses

FINRA ADDRESS: MONROE ST,CHICAGO, IL NATURE OF THE BUSINESS: PART TIME HOURLY EMPLOYEE POSITION/TITLE: PART TIME HOURLY EMPLOYEE INVESTMENT RELATED:NO START DATE: 10/16/2007 HOURS PER MONTH DEVOTED TO THIS BUSINESS: 4 HOURS PER MONTH DEVOTED TO THIS BUSINESS DURING TRADING HOURS: 1 DESCRIPTION OF DUTIES: ARBITRATOR

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-01
S63 Uniform Securities Agent State Law Examination 1990-09-06
  • S65 Uniform Investment Adviser Law Examination
    1999-12-01
  • S63 Uniform Securities Agent State Law Examination
    1990-09-06
Designations

View on SEC IAPD

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