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300 Parkland Plaza, Ann Arbor, MI 48103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-01-31 |
Branch Locations
5606 N. Navarro Suite 200 I, Victoria, TX 77904 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James Financial Services, Inc. | Victoria | TX | 12/2016 | 01/2017 |
| Raymond James Financial Services, Inc. | Victoria | TX | 01/2017 | 05/2017 |
| Prosperity Bank | Victoria | TX | 12/2016 | 01/2020 |
| Prosperity Bank | Victorias | TX | 09/2014 | 12/2016 |
| Raymond James Financial Services, Inc. | Victoria | TX | 05/2017 | 01/2020 |
| Raymond James Financial Services Advisors Inc. | Victoria | TX | 05/2017 | 01/2020 |
| Sigma Financial Corporation | Victoria | TX | 01/2020 | Present |
Risk Management Partners, LTD, Fort Worth, TX. Independent contractor - remote review of large commercial loan documents for community banks. Start date: 6/29/20, approx. 20 hrs/mo with less than 50% during mkt hrs. Not investment related. ReynoldsWilliams Group (RWG), Galena, OH. Independent contractor - remote review of large commercial loan documents for community banks. Start date: 5/19/25, approx. 20 hrs/mo with less than 50% during mkt hrs. Not investment related.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-05-08 |
| S63 | Uniform Securities Agent State Law Examination | 1996-04-26 |
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