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Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2019-11-18
TX RA APPROVED 2019-11-18
  • IL RA
    APPROVED
    Since 2019-11-18
  • TX RA
    APPROVED
    Since 2019-11-18

Branch Locations

120 S Riverside Plaza Suite 700, Chicago, IL 60606 • United States

Western Springs, IL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Chicago IL 05/2009 11/2016
Wells Fargo Clearing Services, Llc Chicago IL 11/2016 11/2019
Raymond James And Associates, Inc Chicago IL 11/2019 Present
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Chicago, IL
  • 11/2016 → 11/2019
    Chicago, IL
  • 11/2019 → Present
    Raymond James And Associates, Inc
    Chicago, IL
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-01-10
S63 Uniform Securities Agent State Law Examination 1994-08-22
  • S65 Uniform Investment Adviser Law Examination
    1996-01-10
  • S63 Uniform Securities Agent State Law Examination
    1994-08-22
Designations

View on SEC IAPD

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