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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-07-15 |
| KY | RA | APPROVED | 2015-10-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James Financial Services, Inc. | Louisville | KY | 09/2015 | Present |
| Stock Yards Bank | Louisville | KY | 09/2015 | Present |
| Raymond James Financial Services Advisors Inc. | Louisville | KY | 10/2015 | Present |
| Stock Yards Bank & Trust Company | Louisville | KY | 09/2021 | Present |
(1)Name of Business: Stock Yards Bank & Trust Company Address: 5220 Dixie Hwy, Louisville, KY, 40216, United States Activity Type: Bank or Credit Union Associate Position/Title: Associate/Employee Investment Related: Yes Start Date: 10/01/2015 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Role is advisor to clients with investment needs. (2)Name of Business: Stock Yards Financial Services Address: 5220 Dixie Hwy, Louisville, KY, 40216, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 07/01/2020 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 21-40 Description of duties: Investment Advisor for clients. (3)Name of Business: Stock Yards Investment Services Address: 5220 Dixie Hwy, Louisville, KY, 40216, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 09/01/2021 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 21-40 Description of duties: Service and Sales of investments.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-04-17 |
| S63 | Uniform Securities Agent State Law Examination | 1996-02-20 |
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