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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2013-02-13
TX RA APPROVED_RES 2013-02-13
  • LA RA
    APPROVED
    Since 2013-02-13
  • TX RA
    APPROVED_RES
    Since 2013-02-13

Branch Locations

7350 Jefferson Hwy Suite 490, Baton Rouge, LA 70806 • 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 & Associates, Inc. Baton Rouge LA 02/2013 Present
Previous Registrations
  • 2004-11-24 → 2013-02-13
    Morgan Keegan & Company, Llc
    Baton Rouge, LA
    Baton Rouge, LA
Other Businesses

(1)Name of Business: HBO Properties, LLC Address: 6326 Province Lane, Baton Rouge, LA, 70808, United States Activity Type: Business Owner Position/Title: Other Investment Related: No Start Date: 12/06/2017 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: i am one of the members of this LLC (2)Name of Business: M&O Holdings, LLC Address: 527 North Acadian Thruway, Baton Rouge , LA, 70806, United States Activity Type: Business Owner Position/Title: Partner Investment Related: No Start Date: 11/03/2004 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: no formal duties or responsibilities ....just normal responsibility for maintaining and enjoying the property.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-09-13
S63 Uniform Securities Agent State Law Examination 1982-04-15
  • S65 Uniform Investment Adviser Law Examination
    1995-09-13
  • S63 Uniform Securities Agent State Law Examination
    1982-04-15
Other Names
  • Tommy Oconnor

View on SEC IAPD

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