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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2006-03-01
  • OH RA
    APPROVED
    Since 2006-03-01

Branch Locations

201 East Fifth Street Suite 2500, Cincinnati, OH 45202 • United States

Blue Ash, OH • 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. Cincinati OH 02/2006 Present
Previous Registrations
  • 1999-05-13 → 2006-02-13
    Morgan Stanley Dw Inc.
    Cincinnati, OH
Other Businesses

(1)Name of Business: Address: 22 trailbridge, cincinnati, OH, 45241, United States Activity Type: Control Person Position/Title: Other (Acting), Executor (Acting) Investment Related: Yes Start Date: 07/06/2017 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Trustee/Successor Trustee. Trustee manage the account

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-04-23
S63 Uniform Securities Agent State Law Examination 1985-06-12
  • S65 Uniform Investment Adviser Law Examination
    1999-04-23
  • S63 Uniform Securities Agent State Law Examination
    1985-06-12

View on SEC IAPD

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