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Current Employers
Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2009-01-02
  • CT RA
    APPROVED
    Since 2009-01-02

Branch Locations

6 Berkshire Blvd Unit 305, Bethel, CT 06801 • United States

Sherman, CT • 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 Financial Services, Inc. Bethel CT 08/2002 Present
Raymond James Financial Services Advisors, Inc Bethel CT 01/2009 Present
Previous Registrations
  • 2002-02-22 → 2002-09-17
    A. G. Edwards & Sons, Inc.
    Danbury, CT
Other Businesses

(1)Name of Business: Nutmeg Investment Group Address: 6 Berkshire Blvd Ste 305, Bethel, CT, 06801, United States Activity Type: Support Company - Non Owner Position/Title: Independent Contractor Investment Related: No Start Date: 01/05/2015 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: I am a Financial Advisor doing business as an Independent Contractor of Nutmeg Investment Group.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-08
S63 Uniform Securities Agent State Law Examination 1993-07-26
  • S65 Uniform Investment Adviser Law Examination
    1999-12-08
  • S63 Uniform Securities Agent State Law Examination
    1993-07-26

View on SEC IAPD

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