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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
SD RA APPROVED 2009-01-02
  • SD RA
    APPROVED
    Since 2009-01-02

Branch Locations

301 E Sioux Avenue, Pierre, SD 57501 • United States

500 E Norway Ave, Mitchell, SD 57301 • United States

225 Cedar, Yankton, SD 57078 • 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 Financial Services, Inc. Yankton SD 06/1999 Present
Avera Sacred Heart Hospital Yankton SD 09/2005 Present
Raymond James Financial Services Advisors, Inc Yankton SD 01/2009 Present
First Dakota National Bank Yankton SD 06/1999 Present
Certified Financial Planner Yankton SD 01/2006 Present
Associated School Board Of South Dakota Yankton SD 03/2013 08/2020
South Dakota Retirement System Pierre SD 09/2016 06/2024
Avera Pooled Investment Committee Sioux Falls SD 08/2016 Present
Yankton School Board Yankton SD 03/2009 Present
  • 06/1999 → Present
    Raymond James Financial Services, Inc.
    Yankton, SD
  • 09/2005 → Present
    Avera Sacred Heart Hospital
    Yankton, SD
  • 01/2009 → Present
    Yankton, SD
  • 06/1999 → Present
    First Dakota National Bank
    Yankton, SD
  • 01/2006 → Present
    Certified Financial Planner
    Yankton, SD
  • 03/2013 → 08/2020
    Associated School Board Of South Dakota
    Yankton, SD
  • 09/2016 → 06/2024
    South Dakota Retirement System
    Pierre, SD
  • 08/2016 → Present
    Avera Pooled Investment Committee
    Sioux Falls, SD
  • 03/2009 → Present
    Yankton School Board
    Yankton, SD
Other Businesses

(1)Name of Business: Avera Address: 3900 West Avera Dr, Sioux Falls, SD, 57104, United States Activity Type: Board Member, Board Subcommittee Member, Officer, or Director Position/Title: Finance/Investment Committee Member Investment Related: Yes Start Date: 08/01/2016 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: review of the chosen investment products in Avera Health Pooled Investments (2)Name of Business: Avera Sacred Heart Hospital Address: 501 Summit Yankton SD 57078, Yankton, SD, 57078, United States Activity Type: Other Position/Title: Other Investment Related: Yes Start Date: 09/27/2005 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: review financial business of hospital- 4 meetings x 1.5 hrs (3)Name of Business: First Dakota Investment Services, Inc. Address: 225 Cedar St, Yankton, SD, 57078, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 08/08/1999 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Branch manager/FA (4)Name of Business: Yankton School District Address: 2410 W City Limits Rd, Yankton , SD, 57078, United States Activity Type: Board Member, Board Subcommittee Member, Officer, or Director Position/Title: Other Investment Related: No Start Date: 04/01/2009 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Board Member - set policy for the school district

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-05-15
S63 Uniform Securities Agent State Law Examination 1997-06-19
  • S65 Uniform Investment Adviser Law Examination
    2002-05-15
  • S63 Uniform Securities Agent State Law Examination
    1997-06-19
Designations
Other Names
  • Kathy Mae Greeneway
  • Kathryn Mae Thaler

View on SEC IAPD

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