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Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-06-12
MO RA APPROVED 2024-05-17
TX RA APPROVED_RES 2024-05-17
  • NY RA
    APPROVED
    Since 2024-06-12
  • MO RA
    APPROVED
    Since 2024-05-17
  • TX RA
    APPROVED_RES
    Since 2024-05-17

Branch Locations

14794 West Lake Road, Pulteney, NY 14874 • United States

9900 Clayton Road, St Louis, MO 63124 • United States

Fairport, NY • 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
Ubs Financial Services Inc. St. Louis MO 01/1995 05/2024
Raymond James & Associates Inc. Saint Louis MO 05/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-10-15
S63 Uniform Securities Agent State Law Examination 1985-10-02
  • S65 Uniform Investment Adviser Law Examination
    1996-10-15
  • S63 Uniform Securities Agent State Law Examination
    1985-10-02

View on SEC IAPD

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