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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 2017-11-13
NC RA APPROVED 2013-02-13
  • TX RA
    APPROVED_RES
    Since 2017-11-13
  • NC RA
    APPROVED
    Since 2013-02-13

Branch Locations

101 Autumn Hall Drive Suite 220, Wilmington, NC 28403 • 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. Wilmington NC 02/2013 Present
Previous Registrations
  • 2001-12-31 → 2013-02-13
    Morgan Keegan & Company, Llc
    Wilmington, NC
    Wilmington, NC
Other Businesses

S & T REALESTATE POSITION: OWNER/ PROPRIETOR/ PARTNER(INCLUDING LIMITED PARTNER) NATURE: RENTAL HOUSES INVESTMENT RELATED: NO NUMBER OF HOURS: 4 INVESTMENT RELATED HOURS: 0 START DATE: 10/02/2005 ADDRESS: PO BOX 1097 WRIGHTSVILLE BEACH NC 28480 DESCRIPTION: DEPOSIT RENT CHECK.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-06-07
S63 Uniform Securities Agent State Law Examination 1994-07-07
  • S65 Uniform Investment Adviser Law Examination
    1995-06-07
  • S63 Uniform Securities Agent State Law Examination
    1994-07-07
Other Names
  • John David Thomas

View on SEC IAPD

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