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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 2021-09-30
  • TX RA
    APPROVED
    Since 2021-09-30

Branch Locations

6303 Cowboys Way Suite 425, Frisco, TX 75034 • United States

One Executive Suites - Graham Building 601 N Marienfeld St Ste 100-B, Midland, TX 79701-4374 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Midland TX 05/2005 09/2021
Bank Of America, N.A. Midland TX 12/2009 09/2021
Raymond James & Associates, Inc Frisco TX 09/2021 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-03-10
S63 Uniform Securities Agent State Law Examination 1983-06-27
  • S65 Uniform Investment Adviser Law Examination
    1995-03-10
  • S63 Uniform Securities Agent State Law Examination
    1983-06-27

View on SEC IAPD

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