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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
MS RA APPROVED 2024-12-04
TX RA APPROVED 2024-12-04
  • MS RA
    APPROVED
    Since 2024-12-04
  • TX RA
    APPROVED
    Since 2024-12-04

Branch Locations

Madison, MS • United States

200 Concourse Suite 100 1062 Highland Colony Parkway, Ridgeland, MS 39157 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stephens Inc Ridgeland MS 01/2009 12/2024
Raymond James & Associates Ridgeland MS 12/2024 Present
  • 01/2009 → 12/2024
    Stephens Inc
    Ridgeland, MS
  • 12/2024 → Present
    Raymond James & Associates
    Ridgeland, MS
Previous Registrations
  • 2009-01-14 → 2024-12-09
    Ridgeland, MS
  • 2007-07-25 → 2009-01-15
    Morgan Keegan & Company, Llc
    Jackson, MS
    Jackson, MS
Other Businesses

FILM PRODUCER EMPLOYED BY MAD GENIUS - RIDGELAND, MS - NOT INVESTMENT RELATED - FILMS & DOCUMENTARIES - ACTOR - 9/2011 - 0 HOURS DURING SECURITIES TRADING HOURS; THE DETECTIVES MYSTERY DINNER THEATRE - BRANDON, MS - NOT INVESTMENT RELATED - ACTOR - DINNER THEATRE - APRIL 2012.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-07-24
S63 Uniform Securities Agent State Law Examination 1980-08-08
  • S66 Uniform Combined State Law Examination
    2007-07-24
  • S63 Uniform Securities Agent State Law Examination
    1980-08-08
Other Names
  • Roadster Thomas
  • Wayne Andrew Smith

View on SEC IAPD

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