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Arthur J Springer

Raymond James & Associates, Inc.

Woodbury, NY

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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 2021-06-14
CT RA APPROVED 2017-12-03
TX RA APPROVED_RES 2017-11-03
  • NY RA
    APPROVED
    Since 2021-06-14
  • CT RA
    APPROVED
    Since 2017-12-03
  • TX RA
    APPROVED_RES
    Since 2017-11-03

Branch Locations

135 Crossways Park Drive Suite 104, Woodbury, NY 11797 • 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
Bank Of America, N.A. Melville NY 09/2009 11/2017
Raymond James & Associates, Inc. Woodberry NY 11/2017 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-03-16
S65 Uniform Investment Adviser Law Examination 1994-11-14
S63 Uniform Securities Agent State Law Examination 1986-02-05
  • S66 Uniform Combined State Law Examination
    2008-03-16
  • S65 Uniform Investment Adviser Law Examination
    1994-11-14
  • S63 Uniform Securities Agent State Law Examination
    1986-02-05

View on SEC IAPD

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WELLS FARGO CLEARING SERVICES, LLC · WOODBURY, NY
MML INVESTORS SERVICES, LLC · Woodbury, NY
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