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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_RES 2013-04-22
WV RA APPROVED 2013-04-10
  • TX RA
    APPROVED_RES
    Since 2013-04-22
  • WV RA
    APPROVED
    Since 2013-04-10

Branch Locations

1207 Quarrier Street Suite 306, Charleston, WV 25301 • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James Financial Services, Inc. Charleston WV 04/2013 Present
Raymond James Financial Services Advisors Inc. Charleston WV 04/2013 Present
Cmdc, Llc Charleston WV 12/2015 Present
Previous Registrations
Other Businesses

(1)Name of Business: NA Address: 1207 Quarrier St Ste 306, Charleston, WV, 25301, United States Activity Type: Personal/Private Investment Position/Title: Investment Related: Yes Start Date: 12/08/2015 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: (2)Name of Business: Payne Investment Team LLC Address: 1207 Quarrier St Ste 306, Charleston, WV, 25301, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 04/02/2013 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: 50% Owner of Support Company

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-02-20
S63 Uniform Securities Agent State Law Examination 1984-03-21
  • S65 Uniform Investment Adviser Law Examination
    1997-02-20
  • S63 Uniform Securities Agent State Law Examination
    1984-03-21
Other Names
  • Tom Payne

View on SEC IAPD

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