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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-01-13 |
| NM | RA | APPROVED | 2019-08-15 |
Branch Locations
5911 Jefferson St Ne Ste A, Albuquerque, NM 87109 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mml Investor Services, Llc | Albuquerque | NM | 08/2016 | 02/2018 |
| University Of Nm | Albuquerque | NM | 01/2013 | 05/2017 |
| Raymond James Financial Services, Inc. | Albuquerque | NM | 02/2018 | Present |
| Raymond James Financial Services Advisors Inc. | Albuquerque | NM | 08/2019 | Present |
(1)Name of Business: Meals on Wheels Albuquerque Address: 5901 Harper Dr NE, Albuquerque , NM, 87109, United States Activity Type: Non profit Position/Title: Officer - Treasurer, Board Member Investment Related: Yes Start Date: 01/01/2023 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Board member tasked with attending regular meetings and serving on at the Finance Committee as Treasurer. This committee will supervise the designated outside investment management of the organization's portfolio and make recommendations to the board regarding project funding and achievement of long-term financial goals. The role is not responsible to writing checks or directly approving financial contracts. The role does include reviewing organizational invoices. (2)Name of Business: The Renaud Investment Group: Raymond James Address: 5911 Jefferson St NE Ste A, Albuquerque, NM, 87109, United States Activity Type: Support Company - Owner Position/Title: Associate/Employee Investment Related: No Start Date: 02/01/2018 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I assist the practice with day to day activities, client service, information management, answering phones, filling documents, scheduling, and taking notes for meetings.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-03-05 |
| S63 | Uniform Securities Agent State Law Examination | 2017-02-24 |
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