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Current Employers
Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
NM RA APPROVED 2019-09-16
TX RA APPROVED_RES 2019-09-13
  • NM RA
    APPROVED
    Since 2019-09-16
  • TX RA
    APPROVED_RES
    Since 2019-09-13

Branch Locations

10211 Montgomery Avenue Suite 4, Albuquerque, NM 87111 • United States

Disclosures

2 disclosure categories 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 Yes
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
The 25 Albuquerque NM 03/2004 Present
Rbc Capital Markets, Llc Albuquerque NM 09/2011 09/2019
Raymond James Financial Services, Inc. Albuquerque NM 09/2019 Present
Raymond James Financial Services Advisors Inc. Albuquerque NM 09/2019 Present
Previous Registrations
Other Businesses

(1)Name of Business: Broken Road Promotions Address: 6000 Cortaderia Rd NE, 3107, Albuquerque, NM, 87111, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 01/03/2011 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: BRP is a marketing/writing service. I create creative content our provide consulting to help people brand and communicate (2)Name of Business: Defiant Wealth Address: 10211 Montgomery Blvd NE Ste 4, Albuquerque, NM, 87111-3604, United States Activity Type: Support Company - Owner Position/Title: Officer - CEO Investment Related: No Start Date: 03/01/2026 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Defiant Wealth will be the DBA for my Raymond James business, therefore there will not be any specific "duties" beyond my role as branch manager and financial advisor.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-12-14
S63 Uniform Securities Agent State Law Examination 1985-08-27
  • S65 Uniform Investment Adviser Law Examination
    2011-12-14
  • S63 Uniform Securities Agent State Law Examination
    1985-08-27

View on SEC IAPD

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