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James William Shircliff

Raymond James & Associates, Inc.

Louisville, KY

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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 2023-05-02
KY RA APPROVED 2014-03-14
  • TX RA
    APPROVED_RES
    Since 2023-05-02
  • KY RA
    APPROVED
    Since 2014-03-14

Branch Locations

4969 Us Hwy 42 Suite 1600, Louisville, KY 40222 • 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 & Associates Louisville KY 03/2014 Present
  • 03/2014 → Present
    Raymond James & Associates
    Louisville, KY
Previous Registrations
  • 2012-10-01 → 2014-03-26
    J.P. Morgan Securities Llc
    Louisville, KY
    Louisville, KY
  • 2005-07-06 → 2012-10-01
    Chase Investment Services Corp.
    Louisville, KY
    Louisville, KY
    Louisville, KY
  • 2005-05-11 → 2005-07-06
    Banc One Securities Corporation
    Louisville, KY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-02-23
S63 Uniform Securities Agent State Law Examination 1995-06-14
  • S65 Uniform Investment Adviser Law Examination
    2004-02-23
  • S63 Uniform Securities Agent State Law Examination
    1995-06-14
Other Names
  • James William Shircliff

View on SEC IAPD

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