Kathy Fales Hammock

Current Employers

Raymond James Financial Services Advisors, Inc

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

Current Registrations

Authority	Category	Status	Date
GA	RA	APPROVED	2025-04-04

GA RA
APPROVED

Since 2025-04-04

Branch Locations

Forsyth, GA • 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

Organization	City	State	From	To
Raymond James Financial Services, Inc.	Roswell	GA	11/2004	Present
Stonewall Asset Management, Inc.	Forsyth	GA	01/2008	03/2025
Hammock & Associates, Llc	Forsyth	GA	06/2007	Present
Raymond James Financial Services Advisors, Inc.	Forsyth	GA	03/2025	Present

11/2004 → Present

Raymond James Financial Services, Inc.

Roswell, GA
01/2008 → 03/2025

Stonewall Asset Management, Inc.

Forsyth, GA
06/2007 → Present

Hammock & Associates, Llc

Forsyth, GA
03/2025 → Present

Raymond James Financial Services Advisors, Inc.

Forsyth, GA

Previous Registrations

2008-04-03 → 2025-04-01

Stonewall Asset Mgmt., Inc.

Forsyth, GA

Other Businesses

(1)Name of Business: Hammock & Assoc, LLC Address: 102 River Overlook, Forsyth, GA, 31029, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 06/15/2007 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: support company for RJFS-related activities

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-12-15
S63	Uniform Securities Agent State Law Examination	1984-11-08

S66 Uniform Combined State Law Examination

2004-12-15
S63 Uniform Securities Agent State Law Examination

1984-11-08

Other Names

Kathy Elaine Fales

View on SEC IAPD