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Current Employers
Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2009-01-02
  • TX RA
    APPROVED
    Since 2009-01-02

Branch Locations

4545 Bissonnet Suite #288, Bellaire, TX 77401 • 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 Financial Services Bellaire TX 02/2008 Present
Raymond James Financial Services Advisors, Inc Bellaire TX 01/2009 Present
Red Leaves Capital Bellaire TX 08/2008 Present
Previous Registrations
  • 2007-04-02 → 2008-02-08
    Morgan Stanley & Co. Llc
    Houston, TX
  • 2000-11-20 → 2007-04-02
    Morgan Stanley Dw Inc.
    Houston, TX
    Houston, TX
Other Businesses

Name of Business : Red Leaves Capital Address: Bellaire, TX Nature of the Business: Support Company/DBA (Owner) Position/Title: Support Company/DBA (Owner) Investment Related:No Start Date: 08/22/2008 Hours per month devoted to this business: 0 Hours per month devoted to this business during trading hours: 0 Description of duties: DBA/Support Company - owner of support co

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-06-07
S63 Uniform Securities Agent State Law Examination 1984-07-17
  • S65 Uniform Investment Adviser Law Examination
    1996-06-07
  • S63 Uniform Securities Agent State Law Examination
    1984-07-17

View on SEC IAPD

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