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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 2018-01-02
FL RA APPROVED 2016-09-06
  • TX RA
    APPROVED_RES
    Since 2018-01-02
  • FL RA
    APPROVED
    Since 2016-09-06

Branch Locations

250 Royal Palm Way Suite 200, Palm Beach, FL 33480 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Deutsche Bank Securities Inc. Miami FL 01/2001 09/2016
Raymond James & Associates, Inc. Palm Beach FL 09/2016 Present
Previous Registrations
Other Businesses

(1)Name of Business: Cargo Holdings LLC Address: 1800 Breakers West Blvd, West Palm Beach, FL, 33411, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 06/10/2018 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 (2)Name of Business: ghostfire Address: 1800 Breakers West Blvd, West Palm Beach, FL, 33411, United States Activity Type: Board Member, Board Subcommittee Member, Officer, or Director Position/Title: Advisory Board Investment Related: No Start Date: 11/01/2024 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: One meeting per year or an occasional call.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-05-07
S63 Uniform Securities Agent State Law Examination 1982-12-07
  • S65 Uniform Investment Adviser Law Examination
    1992-05-07
  • S63 Uniform Securities Agent State Law Examination
    1982-12-07

View on SEC IAPD

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