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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 2016-04-29
KY RA APPROVED 2013-02-13
  • TX RA
    APPROVED_RES
    Since 2016-04-29
  • KY RA
    APPROVED
    Since 2013-02-13

Branch Locations

Louisville, KY • United States

4969 Us Hwy 42 Suite 1600, Louisville, KY 40222 • 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. Louisville KY 02/2013 Present
Previous Registrations
  • 2004-03-23 → 2013-02-13
    Morgan Keegan & Company, Llc
    Louisville, KY
    Louisville, KY
    Louisville, KY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-23
S63 Uniform Securities Agent State Law Examination 1985-05-29
  • S65 Uniform Investment Adviser Law Examination
    1999-12-23
  • S63 Uniform Securities Agent State Law Examination
    1985-05-29

View on SEC IAPD

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