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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
AR RA APPROVED 2024-10-25
TX RA APPROVED 2024-10-25
  • AR RA
    APPROVED
    Since 2024-10-25
  • TX RA
    APPROVED
    Since 2024-10-25

Branch Locations

12921 Cantrell Road Suite 400, Little Rock, AR 72223 • 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. Little Rock AR 08/1977 Present
Raymond James & Associates Inc. Little Rock AR 10/2024 Present
Previous Registrations
  • 2001-08-28 → 2024-11-05
    Little Rock, AR
    Little Rock, AR
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-02-12
S63 Uniform Securities Agent State Law Examination 1980-05-06
  • S65 Uniform Investment Adviser Law Examination
    2001-02-12
  • S63 Uniform Securities Agent State Law Examination
    1980-05-06

View on SEC IAPD

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