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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 2014-04-10
TN RA APPROVED 2013-02-13
  • TX RA
    APPROVED_RES
    Since 2014-04-10
  • TN RA
    APPROVED
    Since 2013-02-13

Branch Locations

11400 Parkside Drive Suite 200, Knoxville, TN 37934 • 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
Amsouth Investment Services, Inc. Birmingham AL 02/2000 Present
Amsouth Investment Management Company Llc Birmingham AL 07/2003 Present
Raymond James & Associates, Inc. Knoxville TN 02/2013 Present
  • 02/2000 → Present
    Amsouth Investment Services, Inc.
    Birmingham, AL
  • 07/2003 → Present
    Amsouth Investment Management Company Llc
    Birmingham, AL
  • 02/2013 → Present
    Knoxville, TN
Previous Registrations
  • 2007-02-13 → 2013-02-13
    Morgan Keegan & Company, Llc
    Knoxville, TN
    Knoxville, TN
  • 2003-07-10 → 2007-02-13
    Amsouth Investment Management Company Llc
    Knoxville, TN
  • 2003-02-11 → 2003-07-10
    Amsouth Investment Services, Inc.
    Knoxville, TN
    Knoxville, TN
    Knoxville, TN
    Knoxville, TN
    Knoxville, TN
    Jefferson City, TN
    Clinton, TN
    Knoxville, TN
    Knoxville, TN
    Knoxville, TN
Other Businesses

PURE LLC POSITION: OWNER/ PROPRIETOR/ PARTNER(INCLUDING LIMITED PARTNER) NATURE: SALON INVESTMENT RELATED: NO NUMBER OF HOURS: 0 INVESTMENT RELATED HOURS: 0 ADDRESS: 10780 HARDIN VALLEY RD. KNOXVILLE, TN. 37932

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-07-09
S63 Uniform Securities Agent State Law Examination 1993-06-09
  • S65 Uniform Investment Adviser Law Examination
    1993-07-09
  • S63 Uniform Securities Agent State Law Examination
    1993-06-09

View on SEC IAPD

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