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Current Employers
Raymond James Financial Services Advisors, Inc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-23
  • NY RA
    APPROVED
    Since 2021-06-23

Branch Locations

100 Great Oaks Blvd Suite 111, Albany, NY 12203 • 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
Raymond James Financial Services Albany NY 12/2010 Present
Brown Investment Strategies, Llc Albany NY 02/2011 Present
Raymond James Financial Services Advisors Albany NY 02/2011 Present
  • 12/2010 → Present
    Raymond James Financial Services
    Albany, NY
  • 02/2011 → Present
    Brown Investment Strategies, Llc
    Albany, NY
  • 02/2011 → Present
    Raymond James Financial Services Advisors
    Albany, NY
Previous Registrations
Other Businesses

(1)Name of Business: Brown Investment Strategies, LLC Address: 100 Great Oaks Blvd Ste 111, Albany, NY, 12203, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 02/09/2011 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Branch DBA name

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1986-09-06
  • S63 Uniform Securities Agent State Law Examination
    1986-09-06
Designations

View on SEC IAPD

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