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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 2024-03-15
TN RA APPROVED 2013-02-13
  • TX RA
    APPROVED_RES
    Since 2024-03-15
  • TN RA
    APPROVED
    Since 2013-02-13

Branch Locations

537 Market Street, Ste. 105 1St & 3Rd Floors, Chattanooga, TN 37402 • 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James & Associates, Inc. Chattanooga TN 02/2013 Present
Previous Registrations
  • 2005-08-12 → 2013-02-13
    Morgan Keegan & Company, Llc
    Chattanooga, TN
    Chattanooga, TN
  • 2004-01-22 → 2005-08-29
    Morgan Stanley Dw Inc.
    Chattanooga, TN
Other Businesses

(1)Name of Business: Chattanooga yarn co Address: 2826 OZARK RD, Chattanooga , TN, 37415, United States Activity Type: Business Owner Position/Title: Other Investment Related: No Start Date: 07/01/2022 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I COSIGNED THE LEASE FOR THE REAL ESTATEE FOR THIS BUSINESS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-03-07
S63 Uniform Securities Agent State Law Examination 1992-10-01
  • S65 Uniform Investment Adviser Law Examination
    1994-03-07
  • S63 Uniform Securities Agent State Law Examination
    1992-10-01

View on SEC IAPD

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