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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 2017-11-13
AL RA APPROVED 2013-02-13
  • TX RA
    APPROVED_RES
    Since 2017-11-13
  • AL RA
    APPROVED
    Since 2013-02-13

Branch Locations

2900 Highway 280 Suite 100, Birmingham, AL 35223 • 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
Raymond James & Associates, Inc. Birmingham AL 02/2013 Present
Previous Registrations
  • 2003-02-12 → 2013-02-13
    Morgan Keegan & Company, Llc
    Alabaster, AL
    Birmingham, AL
    Birmingham, AL
    Birmingham, AL
Other Businesses

(1)Name of Business: Ronald McDonald House Charities of Alabama Address: 1700 4th Avenue South, Birmingham, AL, 35233, United States Activity Type: Non profit Position/Title: Officer - Treasurer, Board Member, Committee Member Investment Related: Yes Start Date: 01/18/2024 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: The board has a fiduciary responsibility to steward the resources of RMHCA in furtherance of its mission. The Board sets policy and ensures that policy is up to date and properly implemented by the CEO.\nMission: With diligence, integrity, and compassion, the RMHCA joins and families in their efforts to find hope, support, happiness and growth, regardless of obstacles placed before them. (2)Name of Business: Ronald McDonald House Finance Committee Address: 1700 4th Avenue South, Birmingham, AL, 35233, United States Activity Type: Non profit Position/Title: Board Member, Committee Member Investment Related: Yes Start Date: 08/21/2020 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: -Attend Quarterly Meetings-Offer Financial Advice-Support Fund Raising Efforts.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-11-20
S63 Uniform Securities Agent State Law Examination 1988-11-03
  • S65 Uniform Investment Adviser Law Examination
    1998-11-20
  • S63 Uniform Securities Agent State Law Examination
    1988-11-03
Other Names
  • Bill Anthony

View on SEC IAPD

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