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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2013-02-13
NC RA APPROVED 2013-02-13
TN RA APPROVED 2013-02-13
TX RA APPROVED_RES 2013-02-13
  • MO RA
    APPROVED
    Since 2013-02-13
  • NC RA
    APPROVED
    Since 2013-02-13
  • TN RA
    APPROVED
    Since 2013-02-13
  • TX RA
    APPROVED_RES
    Since 2013-02-13

Branch Locations

1100 Ridgeway Loop Road, Memphis, TN 38120 • 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 Yes
  • 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. Memphis TN 02/2013 Present
Previous Registrations
  • 1992-01-28 → 2013-02-13
    Morgan Keegan & Company, Llc
    Memphis, TN
    Memphis, TN
Other Businesses

(1)Name of Business: Lynn Shaw Farm Address: 5361 Lexington Road, Memphis, TN, 38120, United States Activity Type: Agriculture/Farming Position/Title: Owner/Proprietor Investment Related: No Start Date: 07/06/2016 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Rent out cultivatable land to a relative and have timber on the remainder (2)Name of Business: Shaw Brothers Farm, LLC Address: 35827 Hwy 8 E, Gore Springs, MS, 38129, United States Activity Type: Business Owner Position/Title: Partner Investment Related: No Start Date: 05/25/1997 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I have a farm manager that farms the land and I receive rental income.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-09-28
S63 Uniform Securities Agent State Law Examination 1979-10-26
  • S65 Uniform Investment Adviser Law Examination
    1994-09-28
  • S63 Uniform Securities Agent State Law Examination
    1979-10-26

View on SEC IAPD

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