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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2009-01-02
  • KY RA
    APPROVED
    Since 2009-01-02

Branch Locations

4165 Westport Rd. Suite 101, Louisville, KY 40207 • 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
Raymond James Financial Services Middletown KY 02/2000 Present
Raymond James Financial Services Advisors, Inc Louisville KY 01/2009 Present
Other Businesses

(1)Name of Business: St. Matthews Investment Group Address: 4165 Westport Rd Ste 101, Louisville, KY, 40207, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 01/01/2017 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Financial Advisor owner/operator of DBA (2)Name of Business: Walt Schwartz Aviation, LLC Address: Bowman Field Airport\n3345 Roger E Schupp St.\n, Louisville, KY, 40205, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 10/13/2021 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Sole Managing Member of Plane ownership (3)Name of Business: Walter J Schwartz & Co, Inc. Address: 4165 Westport Rd Ste 101, Louisville, KY, 40207, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 02/15/2000 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Owner of Company

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1995-05-20
  • S63 Uniform Securities Agent State Law Examination
    1995-05-20

View on SEC IAPD

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