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Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2018-04-23
  • FL RA
    APPROVED
    Since 2018-04-23

Branch Locations

2893 Executive Park Drive Suite 305, Weston, FL 33331 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Ft. Lauderdale FL 10/2009 04/2018
Raymond James & Associates, Inc. Boca Raton FL 04/2018 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-09-23
S63 Uniform Securities Agent State Law Examination 1992-03-06
  • S65 Uniform Investment Adviser Law Examination
    2010-09-23
  • S63 Uniform Securities Agent State Law Examination
    1992-03-06

View on SEC IAPD

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