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880 Carillon Parkway, Saint Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2018-09-19 |
| NM | RA | APPROVED | 2009-01-02 |
Branch Locations
324 Paseo De Peralta Suite A, Santa Fe, NM 87501 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James Financial Services, Inc | Santa Fe | NM | 03/2008 | Present |
| Raymond James Financial Services Advisors, Inc | Santa Fe | NM | 01/2009 | Present |
(1)Name of Business: Rotary Club Santa Fe Centro Address: 324 Paseo de Peralta, Santa Fe, NM, 87501, United States Activity Type: Non profit Position/Title: Officer - Treasurer Investment Related: Yes Start Date: 07/01/2022 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: keep track of accounting & report to the board & club (2)Name of Business: White & Luff Financial, Inc. Address: 324 Paseo de Peralta Ste A, Santa Fe, NM, 87501, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 08/01/2011 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Consult with clients & make Investment recommendations.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-07-05 |
| S63 | Uniform Securities Agent State Law Examination | 1986-12-17 |
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