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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 2026-06-08
IN RA APPROVED 2018-06-19
  • TX RA
    APPROVED
    Since 2026-06-08
  • IN RA
    APPROVED
    Since 2018-06-19

Branch Locations

11611 N Meridian St Ste 600, Carmel, IN 46032-7118 • United States

Mccordsville, IN • 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
Self Employed Indianapolis IN 05/1989 Present
Lpl Financial, Llc Indianapolis IN 07/2000 05/2018
Harbour Wealth Partners, Inc. Indianapolis IN 02/1989 05/2018
Raymond James & Associates Carmel IN 05/2018 Present
Previous Registrations
Other Businesses

1) Name of Business: Archdiocese of Central and Southern Indiana Address: 1400 North Merician Street, Indianapolis, IN, 46220, United States Activity Type: Religious Position/Title: Finance/Investment Committee Member Investment Related: Yes Start Date: 04/10/2019 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Finance Council - consists of 10 Council membersa) provides advisory guidance/input for consideration for decisions related to capital assets (ie. Property purchase/sale) b) decision-making (vote) related to budget/planning issues such as church closings; c) review of spending policies d) each Council member assumes Chair position with an assigned Committee; in your case, Chair of the Investment Committee (2) Name of Business: Archdiocese of Central and Southern Indiana Address: 1400 North Meridian Street, Indianapolis, IN, 46220, United States Activity Type: Religious Position/Title: Other Investment Related: Yes Start Date: 04/10/2019 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: I serve on the Investment Committee for the Archdiocese of Central and Southern Indiana as my appointed role as a member of the Finance Council- The committee consists of 11 Committee members; 9 lay members; 2 Church officials - CFO and Vicar General

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-01-16
S63 Uniform Securities Agent State Law Examination 1991-10-09
  • S65 Uniform Investment Adviser Law Examination
    1995-01-16
  • S63 Uniform Securities Agent State Law Examination
    1991-10-09
Designations

View on SEC IAPD

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