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880 Carillon Parkway, St. Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-12-26 |
| TX | RA | APPROVED | 2020-10-02 |
| IA | RA | APPROVED | 2020-09-16 |
Branch Locations
13137 University Ave, Clive, IA 50325 • United States
16386 Viansa Way Unit 302, Naples, FL 34110 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Corporation | Des Moines | IA | 03/2008 | 09/2020 |
| City National Bank | Clive | IA | 03/2020 | 09/2020 |
| Raymond James & Associates, Inc | West Des Moines | IA | 09/2020 | Present |
(1) Name of Business : UnityPoint Health Des Moines Address: 1200 Pleasant St. ,Des Moines, IA Nature of the Business: Non Profit Org. - Founder/Leadership Position/Title: Director Investment Related:Yes Start Date: 02/16/2017 Hours per month devoted to this business: 3 Hours per month devoted to this business during trading hours: 1 Description of duties: On Board of Directors; also serve on Finance Committee, Investment Committee, and Audit/Legal/Compliance Committees (2) WAKONDA CLUB; ADDRESS: 3915 FLEUR DRIVE, DES MOINES, IA 50321; BUSINESS DESCRIPTION: COUNTRY CLUB; NOT INVESTMENT RELATED; START DATE: 12/01/2017; CAPACITY: BOARD OF DIRECTORS; DUTIES: BOARD MEMBER; HOURS DEVOTED PER MONTH: 2-3; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 2
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-03-11 |
| S63 | Uniform Securities Agent State Law Examination | 1986-11-19 |
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