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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2024-08-14
  • CT RA
    APPROVED
    Since 2024-08-14

Branch Locations

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

Dover, MA • 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
Citizens Securities, Inc. Westwood MA 09/2009 09/2022
Commonwealth Financial Network Waltham MA 09/2022 06/2024
Raymond James & Associates, Inc Dover MA 06/2024 Present
Raymond James Financial Services, Inc Dover MA 08/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-11-05
S63 Uniform Securities Agent State Law Examination 1995-04-10
  • S65 Uniform Investment Adviser Law Examination
    1998-11-05
  • S63 Uniform Securities Agent State Law Examination
    1995-04-10
Other Names
  • Adam S Locke
  • Adam Steven Locke

View on SEC IAPD

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