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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-04-01
TN RA APPROVED 2008-08-06
  • TX RA
    APPROVED_RES
    Since 2019-04-01
  • TN RA
    APPROVED
    Since 2008-08-06

Branch Locations

537 Market Street, Ste. 105 1St & 3Rd Floors, Chattanooga, TN 37402 • United States

Disclosures

2 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Raymond James & Associates, Inc. Chattanooga TN 07/2008 Present
Previous Registrations
Other Businesses

Name of Business : First Presbyterian Church - Chattanooga, Tn Address: 554 McCallie Ave,Chattanooga, TN Nature of the Business: Non Profit Org. - Founder/Leadership Position/Title: Non Profit Org. - Founder/Leadership Investment Related:Yes Start Date: 05/01/2008 Hours per month devoted to this business: 4 Hours per month devoted to this business during trading hours: 0 Description of duties: I am a deacon of the Church and I serve on the finance committee.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-01-28
S63 Uniform Securities Agent State Law Examination 1996-06-27
  • S65 Uniform Investment Adviser Law Examination
    1998-01-28
  • S63 Uniform Securities Agent State Law Examination
    1996-06-27

View on SEC IAPD

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