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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2022-10-27
TX RA APPROVED_RES 2020-06-08
KY RA APPROVED 2009-12-15
  • OH RA
    APPROVED
    Since 2022-10-27
  • TX RA
    APPROVED_RES
    Since 2020-06-08
  • KY RA
    APPROVED
    Since 2009-12-15

Branch Locations

The Financial Centre 1139 Fehl Lane, Cincinnati, OH 45230 • 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 No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Raymond James Financial Services, Inc. Maysville KY 12/2009 Present
Raymond James Financial Services Advisors, Inc Maysville KY 12/2009 Present
Previous Registrations
Other Businesses

(1)Name of Business: Cornerstone Retirement Advisors, Inc. Address: 901 US Highway 68 Ste 500, Maysville, KY, 41056, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 12/10/2009 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: This is my business identity under RJFS\n\nAlso at: 1139 Fehl Lane / Cincinnati, OH 45230 (2)Name of Business: Gary Mitchell Address: 1139 Fehl Lane, Cincinnati , OH, 45230, United States Activity Type: Non-variable Insurance Position/Title: Agent Investment Related: Yes Start Date: 06/08/2016 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 2-10 Description of duties: Sell, Service Life Insurance, Med Sup, Medicare, Health Insurance with Aviva, Accordia, Mass Mutual, Cornerstone Life Agency & other life, med sup policies (3)Name of Business: Wildcat Real Estate Holding Company LLC, Karam Investments LLC Address: 3782 Narrows Road, Erlanger, KY, 41018, United States Activity Type: Rental Real Estate Position/Title: Other Investment Related: Yes Start Date: 03/10/2014 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Trust Grantor with my kids as Trustees\nI remain manager (4)Name of Business: Woodland Centre, LLC Address: 901 US Hwy 68 S, Woodland Center Suite 400, Maysville, KY, 41056, United States Activity Type: Rental Real Estate Position/Title: Other, Officer - Treasurer, Partner, Owner/Proprietor, Officer - President Investment Related: Yes Start Date: 08/01/2016 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: This building (where my Maysville office is located) came out of my Dad's Estate. I'll be on-hand manager & President/ Treasurer.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-10-07
S63 Uniform Securities Agent State Law Examination 1994-08-22
  • S66 Uniform Combined State Law Examination
    2005-10-07
  • S63 Uniform Securities Agent State Law Examination
    1994-08-22

View on SEC IAPD

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