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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
UT RA APPROVED 2019-11-12
  • UT RA
    APPROVED
    Since 2019-11-12

Branch Locations

2750 E. Cottonwood Parkway, #520, Cottonwood Heights, UT 84121 • 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
Wells Fargo Advisors Llc Salt Lake City UT 05/2009 11/2016
Wells Fargo Clearing Services, Llc Salt Lake City UT 11/2016 11/2019
Raymond James & Associates, Inc Cottonwood Heights UT 11/2019 Present
Previous Registrations
  • 2003-07-01 → 2019-11-15
    Salt Lake City, UT
    Salt Lake City, UT
  • 2001-05-30 → 2003-07-01
    Prudential Equity Group, Llc
    Salt Lake City, UT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-06-23
S63 Uniform Securities Agent State Law Examination 1984-06-26
  • S65 Uniform Investment Adviser Law Examination
    1995-06-23
  • S63 Uniform Securities Agent State Law Examination
    1984-06-26

View on SEC IAPD

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