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Current Employers
Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2011-12-20
SC RA APPROVED 2009-01-02
  • TX RA
    APPROVED
    Since 2011-12-20
  • SC RA
    APPROVED
    Since 2009-01-02

Branch Locations

906 W Young Street Suite 1, Llano, TX 78643 • United States

Fort Mill, SC • 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
Raymond James Financial Services, Inc. Fort Mill SC 01/1993 Present
Raymond James Financial Services Advisors, Inc Fort Mill SC 01/2009 Present
The Malison Financial Group, Llc Fort Mill SC 07/2007 Present
Other Businesses

(1)Name of Business: The Malison Financial Group, LLC Address: 1808 Second Baxter Xing Ste 100, Fort Mill, SC, 29708, United States Activity Type: Support Company - Owner Position/Title: Officer - President Investment Related: No Start Date: 07/06/2007 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: support company for Raymond James business

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1991-08-20
S63 Uniform Securities Agent State Law Examination 1982-03-31
  • S65 Uniform Investment Adviser Law Examination
    1991-08-20
  • S63 Uniform Securities Agent State Law Examination
    1982-03-31
Other Names
  • Diane Pipkorn

View on SEC IAPD

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