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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2015-06-16
  • NC RA
    APPROVED
    Since 2015-06-16

Branch Locations

3515 Glenwood Avenue Suite 200, Raleigh, NC 27612 • 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
Raymond James & Associates, Inc. Raleigh NC 06/2015 Present
Previous Registrations
Other Businesses

Name of Business : Greensboro Day School Address: Raleigh, NC Nature of the Business: Board Member/Officer/Director Position/Title: Board Member/Officer/Director Investment Related: No Start Date: 02/01/2019 Hours per month devoted to this business: 1 Hours per month devoted to this business during trading hours: 0 Description of duties: Attend meetings via conference calls and help the school raise money for the Alumni Board.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-08-14
  • S66 Uniform Combined State Law Examination
    2014-08-14

View on SEC IAPD

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