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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-07-12
CA RA APPROVED 2012-12-14
  • TX RA
    APPROVED_RES
    Since 2018-07-12
  • CA RA
    APPROVED
    Since 2012-12-14

Branch Locations

301 North Lake Avenue Suite 1150, Pasadena, CA 91101 • 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 And Associates Los Angeles CA 12/2012 Present
  • 12/2012 → Present
    Raymond James And Associates
    Los Angeles, CA
Previous Registrations
Other Businesses

(1)I HAVE A TV CONSULTING HOBBY THAT PAYS ME NOTHING THROUGH BAZ MEDIA FOCUSED ON TV ADVERTISING FOR SOCCER AND HOCKEY. THIS TAKES ABOUT 24 HOURS A YEAR.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1994-05-04
S65 Uniform Investment Adviser Law Examination 1994-01-11
  • S63 Uniform Securities Agent State Law Examination
    1994-05-04
  • S65 Uniform Investment Adviser Law Examination
    1994-01-11

View on SEC IAPD

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