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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2013-02-13
MO RA APPROVED 2013-02-13
OK RA APPROVED 2013-02-13
TX RA APPROVED_RES 2013-02-13
  • GA RA
    APPROVED
    Since 2013-02-13
  • MO RA
    APPROVED
    Since 2013-02-13
  • OK RA
    APPROVED
    Since 2013-02-13
  • TX RA
    APPROVED_RES
    Since 2013-02-13

Branch Locations

1100 Abernathy Road Ne Building 500; Suite 1850, Atlanta, GA 30328 • United States

Clayton, GA • 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James & Associates, Inc. Atlanta GA 02/2013 Present
Previous Registrations
  • 2001-01-05 → 2013-02-13
    Morgan Keegan & Company, Llc
    Atlanta, GA
    Atlanta, GA
Other Businesses

(1)Name of Business: chota falls llc Address: 1760 rickman airfield road , clayton, GA, 30525, United States Activity Type: Business Owner Position/Title: Officer - CEO Investment Related: No Start Date: 06/14/2001 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 2-10 Description of duties: oversee business with wife (2)Name of Business: Two Hearts Foundation Address: 1760 rickman airfield road, clayton, GA, 30525, United States Activity Type: Non profit Position/Title: Board Member, Officer - CEO Investment Related: Yes Start Date: 10/01/2019 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: to meet and determine purpose\nthis is a non profit and the next question does not give that option\nquite confusing

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-04-07
S63 Uniform Securities Agent State Law Examination 1983-09-20
  • S65 Uniform Investment Adviser Law Examination
    1992-04-07
  • S63 Uniform Securities Agent State Law Examination
    1983-09-20

View on SEC IAPD

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