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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 2016-01-20
VT RA APPROVED 2016-01-20
  • TX RA
    APPROVED
    Since 2016-01-20
  • VT RA
    APPROVED
    Since 2016-01-20

Branch Locations

40 Main Street Suite 400, Burlington, VT 05401 • 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 South Burlington VT 01/2016 Present
  • 01/2016 → Present
    Raymond James & Associates
    South Burlington, VT
Previous Registrations
  • 2005-07-29 → 2016-01-29
    South Burlington, VT
    S. Burlington, VT
    South Burlington, VT
  • 1998-11-04 → 2005-08-01
    Morgan Stanley Dw Inc.
    Burlington, VT
Other Businesses

(1) Name of Business: Address: 185 Littlefield Dr, Shelburne , VT, 05482, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 12/30/2022 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: We own a condo that is being rented out by a rental service organization. Seapines Rentals on Hilton Head Island, SC.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-09-30
S65 Uniform Investment Adviser Law Examination 1998-09-30
  • S63 Uniform Securities Agent State Law Examination
    1998-09-30
  • S65 Uniform Investment Adviser Law Examination
    1998-09-30

View on SEC IAPD

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