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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
  • CT RA
    APPROVED
    Since 2016-09-06

Branch Locations

Three Pickwick Plaza 4Th Floor, Greenwich, CT 06830 • United States

Fairfield, CT • 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 Bank Securities Inc. Greenwich CT 02/2007 09/2016
Raymond James & Associates, Inc. Greenwich CT 09/2016 Present
Previous Registrations
Other Businesses

(1)Name of Business: Brian Realty Inc. (a Connecticut Corp) Address: 101 Enfield Street, Enfield , CT, 06082, United States Activity Type: Real Estate Brokerage/ Agent or Development Position/Title: Other Investment Related: Yes Start Date: 01/16/2023 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: As part of my mother's conservatorship, I assumed the responsibility of acting on her behalf to conduct our family's real estate business operations, which includes property management. The broker license pertains to leasing property on behalf of third party owners in need of this service. We do not have any third party clients operating under this entity.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-12-21
S63 Uniform Securities Agent State Law Examination 1995-11-29
  • S65 Uniform Investment Adviser Law Examination
    1995-12-21
  • S63 Uniform Securities Agent State Law Examination
    1995-11-29

View on SEC IAPD

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