Best Investors Account Sign in
Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2014-09-15
  • CA RA
    APPROVED
    Since 2014-09-15

Branch Locations

Calabasas, CA • United States

9595 Wilshire Blvd. Suite 801 And 200, Beverly Hills, CA 90212 • 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 Pasadena CA 09/2014 Present
  • 09/2014 → Present
    Raymond James & Associates
    Pasadena, CA
Previous Registrations
Other Businesses

(1)Name of Business: Barrett Walker, Inc Address: 22557 Uhea Rd, Woodland Hills, CA, 91364, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 05/01/1995 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: This is a personal Service Corp for tax purposes

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1984-06-25
  • S63 Uniform Securities Agent State Law Examination
    1984-06-25
Other Names
  • Dave B Berman

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Calabasas, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor