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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 2016-09-06
TX RA APPROVED_RES 2016-09-06
  • CT RA
    APPROVED
    Since 2016-09-06
  • TX RA
    APPROVED_RES
    Since 2016-09-06

Branch Locations

New Canaan, CT • United States

Three Pickwick Plaza 4Th Floor, Greenwich, CT 06830 • 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
Deutsche Banc Alex Brown New York NY 12/2001 09/2016
Raymond James & Associates, Inc. Greenwich CT 09/2016 Present
Previous Registrations
Other Businesses

Name of Business : PB Investors II Address: n/a,n/a, PA Nature of the Business: Personal/Private Investment Position/Title: Investment Related:Yes Start Date: 12/01/2016 Hours per month devoted to this business: 0 Hours per month devoted to this business during trading hours: 0 Description of duties: n/a

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-12-18
S63 Uniform Securities Agent State Law Examination 1995-10-27
  • S65 Uniform Investment Adviser Law Examination
    1995-12-18
  • S63 Uniform Securities Agent State Law Examination
    1995-10-27
Other Names
  • Chip Pace

View on SEC IAPD

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