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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 2022-04-26
OH RA APPROVED 2011-06-06
  • TX RA
    APPROVED_RES
    Since 2022-04-26
  • OH RA
    APPROVED
    Since 2011-06-06

Branch Locations

201 East Fifth Street Suite 2500, Cincinnati, OH 45202 • 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. Cincinnati OH 06/2011 Present
Previous Registrations
  • 2008-01-01 → 2011-06-06
    Cincinnati, OH
  • 1999-05-13 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Cincinnati, OH
    Cincinnati, OH
    St. Louis, MO
Other Businesses

(1)Name of Business: Address: 7670 Blome Rd, Cincinnati, OH, 45243, United States Activity Type: Rental Real Estate Position/Title: Other Investment Related: Yes Start Date: 07/06/2010 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Owner

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-11-09
S63 Uniform Securities Agent State Law Examination 1983-03-05
  • S65 Uniform Investment Adviser Law Examination
    1992-11-09
  • S63 Uniform Securities Agent State Law Examination
    1983-03-05

View on SEC IAPD

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