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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2011-10-18
  • IL RA
    APPROVED
    Since 2011-10-18

Branch Locations

263 Shuman Blvd Ste 275, Naperville, IL 60563-7700 • 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
Raymond James & Associates, Inc. Naperville IL 10/2011 Present
Previous Registrations
  • 2011-07-20 → 2011-10-11
    Msi Financial Services, Inc.
    Downers Grove, IL
  • 2010-06-03 → 2010-12-20
    Waddell & Reed
    Lisle, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-06-02
  • S66 Uniform Combined State Law Examination
    2010-06-02
Designations

View on SEC IAPD

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