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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2013-02-13
  • KY RA
    APPROVED
    Since 2013-02-13

Branch Locations

489 East Main, Lexington, KY 40507 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James & Associates, Inc. Lexington KY 02/2013 Present
N/A - Trustee Lexington KY 04/2008 Present
Previous Registrations
  • 2008-08-07 → 2013-02-13
    Morgan Keegan & Company, Llc
    Lexington, KY
  • 2006-09-27 → 2008-08-07
    J.P. Morgan Securities Inc.
    Lexington, KY
  • 2004-10-20 → 2006-09-27
    Banc One Securities Corporation
    Lexington, KY
    Lexington, KY
    Chicago, IL
  • 2004-01-07 → 2004-10-22
    J.J.B. Hilliard, W.L. Lyons, Llc
    Lexington, KY
Other Businesses

Linda B Pollard Appointment Trust. Address: Lexington, KY Nature of the Business: Trustee/Successor Trustee Position/Title: Trustee/Successor Trustee Investment Related:No Start Date: 04/06/2008 Hours per month devoted to this business: 1 Hours per month devoted to this business during trading hours: 0 Description of duties: Trustee.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-16
S63 Uniform Securities Agent State Law Examination 1985-03-26
  • S65 Uniform Investment Adviser Law Examination
    1999-12-16
  • S63 Uniform Securities Agent State Law Examination
    1985-03-26
Other Names
  • Robin Lynn Pollard
  • Robin Lynn Seale

View on SEC IAPD

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