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880 Carillon Parkway, St. Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-11-09 |
| OH | RA | APPROVED | 2008-01-22 |
Branch Locations
8044 Montgomery Rd Suite 710, Cincinnati, OH 45236 • United States
Cincinnati, OH • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James & Associates, Inc. | Cincinnati | OH | 01/2008 | Present |
(1)Name of Business: ROETENBERGER, THOMAS Address: 1261 Rookwood Drive, Cincinnati, OH, 45208, United States Activity Type: Control Person Position/Title: Other (Acting) Investment Related: Yes Start Date: 08/31/2003 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Trustee/Successor Trustee. Investment Advice and monitoring (2)Name of Business: St Bernadette Finance Committee Address: 1453 Locust Lake Rd, Amelia, OH, 45102, United States Activity Type: Non profit Position/Title: Committee Member Investment Related: Yes Start Date: 05/01/2014 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: to review the financial statements and budgets so the church and school can break even
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-12-27 |
| S63 | Uniform Securities Agent State Law Examination | 1994-05-11 |
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