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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 2021-09-29
MI RA APPROVED 2019-11-07
  • TX RA
    APPROVED
    Since 2021-09-29
  • MI RA
    APPROVED
    Since 2019-11-07

Branch Locations

25 Michigan Ave. W Suite 240, Battle Creek, MI 49017 • 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
J.J.B. Hilliard, W.L. Lyons, Inc. Battle Creek MI 11/1997 10/2018
J.J.B. Hilliard W.L. Lyons Battle Creek MI 10/2018 10/2019
Robert W. Baird & Co. Incorporated Battle Creek MI 10/2019 11/2019
Raymond James & Associates, Inc. Battle Creek MI 11/2019 Present
Previous Registrations
  • 2019-10-18 → 2019-11-26
    Battle Creek, MI
  • 2010-10-12 → 2019-10-18
    J.J.B. Hilliard, W.L. Lyons, Llc
    Battle Creek, MI
    Battle Creek, MI
    Coldwater, MI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-09-16
S63 Uniform Securities Agent State Law Examination 1991-06-13
  • S65 Uniform Investment Adviser Law Examination
    2010-09-16
  • S63 Uniform Securities Agent State Law Examination
    1991-06-13

View on SEC IAPD

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