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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 2014-07-10
AL RA APPROVED 2013-02-13
  • TX RA
    APPROVED_RES
    Since 2014-07-10
  • AL RA
    APPROVED
    Since 2013-02-13

Branch Locations

2900 Highway 280 Suite 100, Birmingham, AL 35223 • 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. Birmingham AL 02/2013 Present
Previous Registrations
  • 1998-08-06 → 2013-02-13
    Morgan Keegan & Company, Llc
    Birmingham, AL
    Birmingham, AL
Other Businesses

(1)Name of Business: St Liukes Church Address: 3736 Montrose Rd, Birmingham,, AL, 35213, United States Activity Type: Religious Position/Title: Other, Finance/Investment Committee Member Investment Related: Yes Start Date: 11/13/2015 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Foundation Board Member- one of 8 members

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-11-24
S63 Uniform Securities Agent State Law Examination 1995-06-02
  • S65 Uniform Investment Adviser Law Examination
    1999-11-24
  • S63 Uniform Securities Agent State Law Examination
    1995-06-02
Other Names
  • Willis Cobb Hagon

View on SEC IAPD

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