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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 2018-04-27
  • TX RA
    APPROVED
    Since 2018-04-27

Branch Locations

5847 San Felipe Street Ste 3900, Houston, TX 77057 • 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
Mutual Of America Life Insurance Company Houston TX 10/2014 04/2017
Mutual Of America Securities Llc Houston TX 10/2014 04/2017
Raymond James And Associates Houston TX 09/2017 09/2017
Unemployed Houston TX 04/2017 09/2017
Unemployed Houston TX 09/2017 02/2018
Raymond James & Associates Houston TX 02/2018 Present
  • 10/2014 → 04/2017
    Mutual Of America Life Insurance Company
    Houston, TX
  • 10/2014 → 04/2017
    Mutual Of America Securities Llc
    Houston, TX
  • 09/2017 → 09/2017
    Raymond James And Associates
    Houston, TX
  • 04/2017 → 09/2017
    Unemployed
    Houston, TX
  • 09/2017 → 02/2018
    Unemployed
    Houston, TX
  • 02/2018 → Present
    Raymond James & Associates
    Houston, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-04-23
S63 Uniform Securities Agent State Law Examination 2014-11-14
  • S65 Uniform Investment Adviser Law Examination
    2018-04-23
  • S63 Uniform Securities Agent State Law Examination
    2014-11-14

View on SEC IAPD

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