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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 2006-05-24
OH RA APPROVED 2005-11-22
  • TX RA
    APPROVED_RES
    Since 2006-05-24
  • OH RA
    APPROVED
    Since 2005-11-22

Branch Locations

400 E Business Way Suite 101, Cincinnati, OH 45241 • 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. Cincinnati OH 11/2005 Present
Previous Registrations
  • 2001-03-29 → 2005-12-08
    Advest, Inc.
    Cincinnati, OH
Other Businesses

(1)Name of Business: 1819 Real estate LLC Address: 400 E. Business Way, Cincinnati, OH, 45241, United States Activity Type: Business Owner Position/Title: Partner Investment Related: No Start Date: 12/23/2022 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Entity created to sign lease agreement for new RJAS Branch (2)Name of Business: Acquest Inc Address: 5708 Jessup Road, Cincinnati, OH, 45247, United States Activity Type: Rental Real Estate Position/Title: Officer - President Investment Related: Yes Start Date: 01/01/1989 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 0-1 Description of duties: President of company. Oversee purchase and maintenance of real estate investments. (3)Name of Business: MKMS Address: 5708 Jessup Road, Cincinnati, OH, 45247, United States Activity Type: Rental Real Estate Position/Title: Officer - President Investment Related: Yes Start Date: 01/01/2012 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Share with other family members in management and oversight of rental real estate. Retail building

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-01-02
S63 Uniform Securities Agent State Law Examination 1980-11-10
  • S65 Uniform Investment Adviser Law Examination
    2003-01-02
  • S63 Uniform Securities Agent State Law Examination
    1980-11-10

View on SEC IAPD

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