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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 2017-11-01
  • TX RA
    APPROVED
    Since 2017-11-01

Branch Locations

3819 N Expressway 77/83 Suite 5, Brownsville, TX 78521 • 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 No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Jp Morgan Chase Na Brownsville TX 11/2009 10/2017
J.P. Morgan Securities Llc Brownsville TX 10/2012 10/2017
Merrill Lynch, Pierce, Fenner & Smith Incoroprated Brownsville TX 09/2013 11/2017
Raymond James & Associates Inc Brownsville TX 11/2017 Present
  • 11/2009 → 10/2017
    Jp Morgan Chase Na
    Brownsville, TX
  • 10/2012 → 10/2017
    J.P. Morgan Securities Llc
    Brownsville, TX
  • 09/2013 → 11/2017
    Merrill Lynch, Pierce, Fenner & Smith Incoroprated
    Brownsville, TX
  • 11/2017 → Present
    Brownsville, TX
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-05-18
S63 Uniform Securities Agent State Law Examination 2009-12-22
  • S66 Uniform Combined State Law Examination
    2016-05-18
  • S63 Uniform Securities Agent State Law Examination
    2009-12-22
Other Names
  • Iliana Guerrero

View on SEC IAPD

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