Dwayne Mark Peltier

Current Employers

Raymond James & Associates, Inc.

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2009-07-21
CA	RA	APPROVED	2009-07-15

TX RA
APPROVED_RES

Since 2009-07-21
CA RA
APPROVED

Since 2009-07-15

Branch Locations

620 Newport Ctr Dr Suite 900, Newport Beach, CA 92660 • United States

Disclosures

2 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 No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination Yes

Employment History

Organization	City	State	From	To
Raymond James & Associates, Inc.	Newport Beach	CA	06/2009	Present

06/2009 → Present

Raymond James & Associates, Inc.

Newport Beach, CA

Previous Registrations

1989-07-03 → 2009-07-09

Ubs Financial Services Inc.

Irvine, CA

Mission Viejo, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-10-04
S63	Uniform Securities Agent State Law Examination	1983-07-07

S65 Uniform Investment Adviser Law Examination

1995-10-04
S63 Uniform Securities Agent State Law Examination

1983-07-07

View on SEC IAPD

Current Employers

Raymond James & Associates, Inc.

Disclosures

Employment History

Previous Registrations

Exams

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