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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
OK RA APPROVED 2012-04-20
TX RA APPROVED 2012-04-20
  • OK RA
    APPROVED
    Since 2012-04-20
  • TX RA
    APPROVED
    Since 2012-04-20

Branch Locations

3121 Quail Springs Pkwy Ste 110, Oklahoma City, OK 73134 • United States

Edmond, OK • 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 Oklahoma City OK 04/2012 Present
  • 04/2012 → Present
    Raymond James & Associates
    Oklahoma City, OK
Previous Registrations
  • 2009-06-01 → 2012-04-30
    Edmond, OK
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Edmond, OK
  • 2004-07-30 → 2007-04-02
    Morgan Stanley Dw Inc.
    Edmond, OK
    Edmond, OK
  • 2003-07-01 → 2004-08-03
    Edmond, OK
  • 1993-05-11 → 2003-07-01
    Prudential Equity Group, Llc
    Edmond, OK
Other Businesses

(1)Name of Business: Oklahoma County Utility Services Authority Address: 3134 NW 23rd St, Oklahoma City, OK, 73107, United States Activity Type: Other Position/Title: Trustee Investment Related: Yes Start Date: 11/12/2013 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I'm a trustee of the Oklahoma County Utility Services Authority, a Public Trust that provides water to rural and underserved areas of Oklahoma County, Oklahoma

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-01-26
S63 Uniform Securities Agent State Law Examination 1984-03-16
  • S65 Uniform Investment Adviser Law Examination
    1996-01-26
  • S63 Uniform Securities Agent State Law Examination
    1984-03-16
Other Names
  • Scott A Cumbie

View on SEC IAPD

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