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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 2013-02-13
  • TX RA
    APPROVED
    Since 2013-02-13

Branch Locations

745 East Mulberry Avenue Trinity Plaza Two #210, San Antonio, TX 78212 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James & Associates, Inc. San Antonio TX 02/2013 Present
Previous Registrations
  • 2010-04-16 → 2013-02-13
    Morgan Keegan & Company, Llc
    San Antonio, TX
  • 2009-06-01 → 2010-05-13
    San Antonio, TX
  • 1988-05-17 → 2009-06-01
    San Antonio, TX
    San Antonio, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-11-08
S63 Uniform Securities Agent State Law Examination 1983-09-16
  • S65 Uniform Investment Adviser Law Examination
    1994-11-08
  • S63 Uniform Securities Agent State Law Examination
    1983-09-16

View on SEC IAPD

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