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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2025-11-12
TX RA APPROVED_RES 2025-11-08
  • VA RA
    APPROVED
    Since 2025-11-12
  • TX RA
    APPROVED_RES
    Since 2025-11-08

Branch Locations

101 W. Main Street, Norfolk, VA 23510 • 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
Bb&T Securities, Llc Norfolk VA 01/2013 02/2021
Truist Investment Services, Inc. Norfolk VA 02/2021 11/2025
Truist Advisory Services, Inc. Norfolk VA 02/2021 11/2025
Raymond James Financial Services, Inc. Virginia Beach VA 11/2025 Present
Raymond James Financial Services Advisors, Inc. Virginia Beach VA 11/2025 Present
Previous Registrations
Other Businesses

(1) Name of Business: Brooks, Dale and Company Address: 101 W Main St, Norfolk, VA, 23510-1646, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 11/06/2025 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 41+ Description of duties: Wealth Manager (2) Name of Business: Dale Address: 101 W Main St, Norfolk, VA, 23510-1646, United States Activity Type: Control Person Position/Title: Trustee (Acting) Investment Related: Yes Start Date: 12/04/2025 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 serve as the principal trustee of my deceased step mother's testamentary trust for the benefit of one of her sons - my step brother John Allen Miller. My step brother is [REDACTED] handicapped. I send him money when he needs assistance.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-09-16
S63 Uniform Securities Agent State Law Examination 1993-09-09
  • S65 Uniform Investment Adviser Law Examination
    1993-09-16
  • S63 Uniform Securities Agent State Law Examination
    1993-09-09
Other Names
  • K Maxwell Dale
  • Max Dale
  • Kenny M Dale

View on SEC IAPD

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