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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 2013-12-16
LA RA APPROVED 2013-02-13
  • TX RA
    APPROVED_RES
    Since 2013-12-16
  • LA RA
    APPROVED
    Since 2013-02-13

Branch Locations

445 North Blvd., #500 Suite 500, Baton Rouge, LA 70802 • 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
Raymond James & Associates, Inc. Baton Rouge LA 02/2013 Present
Previous Registrations
  • 2004-11-24 → 2013-02-13
    Morgan Keegan & Company, Llc
    Baton Rouge, LA
    Baton Rouge, LA
Other Businesses

(1)Name of Business: Evergreen Working Capital Address: 8545 United Plaza Blvd, Ste 360, Baton Rouge, LA, 70809, United States Activity Type: Board Member, Board Subcommittee Member, Officer, or Director Position/Title: Other Investment Related: No Start Date: 01/01/2008 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Board Member (2)Name of Business: JKS Hodges LLC Address: 1651 Heatherview Ct., Baton Rouge, LA, 70815, United States Activity Type: Business Owner Position/Title: Partner Investment Related: Yes Start Date: 01/01/2010 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: co owned LLC with my wife.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-11-16
S63 Uniform Securities Agent State Law Examination 1993-01-19
  • S65 Uniform Investment Adviser Law Examination
    1998-11-16
  • S63 Uniform Securities Agent State Law Examination
    1993-01-19

View on SEC IAPD

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