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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_RES 2018-11-01
CO RA APPROVED 2018-10-31
  • TX RA
    APPROVED_RES
    Since 2018-11-01
  • CO RA
    APPROVED
    Since 2018-10-31

Branch Locations

102 North Cascade Avenue Suite 600, Colorado Springs, CO 80903 • United States

Disclosures

3 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Stifel Nicolaus & Co Inc Colorado Springs CO 11/2011 10/2018
Raymond James & Associates Colorado Springs CO 02/2018 Present
  • 11/2011 → 10/2018
    Stifel Nicolaus & Co Inc
    Colorado Springs, CO
  • 02/2018 → Present
    Raymond James & Associates
    Colorado Springs, CO
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-02-08
S63 Uniform Securities Agent State Law Examination 1986-07-15
  • S65 Uniform Investment Adviser Law Examination
    1993-02-08
  • S63 Uniform Securities Agent State Law Examination
    1986-07-15
Other Names
  • Dick Walsh

View on SEC IAPD

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