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Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
NV RA APPROVED 2022-10-12
  • NV RA
    APPROVED
    Since 2022-10-12

Branch Locations

1693 County Road, Suite B, Minden, NV 89423 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Smith Barney Reno NV 11/2009 09/2022
Morgan Stanley Private Bank, National Association New York NY 01/2015 09/2022
Raymond James & Associates, Inc. Minden NV 09/2022 Present
  • 11/2009 → 09/2022
    Morgan Stanley Smith Barney
    Reno, NV
  • 01/2015 → 09/2022
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 09/2022 → Present
    Minden, NV
Previous Registrations
  • 2009-11-06 → 2022-10-11
    Folsom, CA
    Folsom, CA
    Incline Village, NV
    Reno, NV
    Gardnerville, NV
  • 2002-02-25 → 2009-12-03
    Folsom, CA
    Sacramento, CA
    Sacramento, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-01-04
S65 Uniform Investment Adviser Law Examination 1996-01-04
  • S63 Uniform Securities Agent State Law Examination
    1996-01-04
  • S65 Uniform Investment Adviser Law Examination
    1996-01-04

View on SEC IAPD

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