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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2006-09-22
  • CO RA
    APPROVED
    Since 2006-09-22

Branch Locations

4643 South Ulster Street Suite 1350, Denver, CO 80237 • United States

Colorado Springs, CO • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James & Associates Englewood CO 05/2006 Present
  • 05/2006 → Present
    Raymond James & Associates
    Englewood, CO
Previous Registrations
Other Businesses

(1) Touchstone Crystal Jewelry Address: Colorado Springs, CO 80911, United States Nature of the Business: Business Owner Position/Title: Independent Contractor Investment Related: No Start Date: 4/11/2016 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: I host jewelry parties in peoples home to sell the Touchstone Jewelry line

Other Names
  • Lisa A. Zumbo
  • Lisa A Zumbo
  • Lisa A Maltais

View on SEC IAPD

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