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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 2009-04-23
KY RA APPROVED 2009-02-09
  • TX RA
    APPROVED_RES
    Since 2009-04-23
  • KY RA
    APPROVED
    Since 2009-02-09

Branch Locations

4969 Us Hwy 42 Suite 1600, Louisville, KY 40222 • 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. Louisville KY 02/2009 Present
Previous Registrations
  • 2005-04-04 → 2009-02-12
    Intl Advisory Consultants Inc.
    Birmingham, AL
  • 2005-04-04 → 2007-01-03
    Sterne, Agee & Leach, Inc.
    Louisville, KY
    Louisville, KY
Other Businesses

(1)Name of Business: RichRussLLC Address: 4609 Wolfcreek Parkway, Louisville, KY, 40241, United States Activity Type: Business Owner Position/Title: Partner Investment Related: No Start Date: 05/30/2014 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 am the managing partner of RichRussLLC. We seek out investment opportunities such as real estate, race horses, stocks, ETF's etc. (2)Name of Business: Saint Bernadette Catholic Church Address: 6500 Saint Bernadette Ave., Prospect, KY, 40059, United States Activity Type: Non profit Position/Title: Advisory Board Investment Related: Yes Start Date: 06/16/2021 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: We review budgets and approve for the church and school. (3)Name of Business: Valhalla Woods Llc Address: 4609 wolf creek parkway, louisville, KY, 40241, United States Activity Type: Business Owner Position/Title: Partner Investment Related: No Start Date: 06/09/2010 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Make payements towards our loan on the property and enjoy hunting, camping, etc.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-07-23
S63 Uniform Securities Agent State Law Examination 1993-04-23
  • S65 Uniform Investment Adviser Law Examination
    2004-07-23
  • S63 Uniform Securities Agent State Law Examination
    1993-04-23
Other Names
  • Russ Cotton

View on SEC IAPD

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