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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 2013-10-09
FL RA APPROVED 2006-09-14
  • TX RA
    APPROVED_RES
    Since 2013-10-09
  • FL RA
    APPROVED
    Since 2006-09-14

Branch Locations

2 N. Tamiami Trail Suite 804, Sarasota, FL 34236 • 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. Sarasota FL 09/2006 Present
Previous Registrations
  • 2001-01-09 → 2006-09-06
    Morgan Stanley Dw Inc.
    Sarasota, FL
    Sarasota, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-07-18
S63 Uniform Securities Agent State Law Examination 1984-06-22
  • S65 Uniform Investment Adviser Law Examination
    1994-07-18
  • S63 Uniform Securities Agent State Law Examination
    1984-06-22

View on SEC IAPD

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