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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
GA RA APPROVED 2013-02-13
OK RA APPROVED 2013-02-13
  • TX RA
    APPROVED_RES
    Since 2018-01-02
  • GA RA
    APPROVED
    Since 2013-02-13
  • OK RA
    APPROVED
    Since 2013-02-13

Branch Locations

1000 Abernathy Road, Ne Building 400, Suite 1425, Atlanta, GA 30328 • 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. Atlanta GA 02/2013 Present
Previous Registrations
  • 2003-07-25 → 2013-02-13
    Morgan Keegan & Company, Llc
    Atlanta, GA
    Atlanta, GA
  • 2003-07-01 → 2003-08-05
    Atlanta, GA
  • 2000-03-20 → 2003-07-01
    Prudential Equity Group, Llc
    Atlanta, GA
Other Businesses

(1)Name of Business: Northside Youth Organization (NYO) Address: Chastain Park and other local gyms/ball fields., Atlanta, GA, 30327, United States Activity Type: Non profit Position/Title: Board Member, Advisory Board Investment Related: Yes Start Date: 09/11/2018 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Effective 9/20/2022, I completed the position as Chairman of the Board of Directors and no longer serve in this capacity. I was asked to continue to serve as a member of the Board of Directors in an advisory capacity, however, I am NO longer on the Executive Committee.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-05-01
S63 Uniform Securities Agent State Law Examination 1983-10-17
  • S65 Uniform Investment Adviser Law Examination
    1996-05-01
  • S63 Uniform Securities Agent State Law Examination
    1983-10-17

View on SEC IAPD

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