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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2011-05-02
TX RA APPROVED 2011-04-21
  • CO RA
    APPROVED
    Since 2011-05-02
  • TX RA
    APPROVED
    Since 2011-04-21

Branch Locations

4643 South Ulster Street Suite 1350, Denver, CO 80237 • 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 And Associates Denver CO 04/2011 Present
  • 04/2011 → Present
    Raymond James And Associates
    Denver, CO
Previous Registrations
  • 2009-06-01 → 2011-04-29
    Greenwood Village, CO
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Centennial, CO
  • 2006-03-10 → 2007-04-02
    Morgan Stanley Dw Inc.
    Centennial, CO
  • 1999-01-01 → 2006-03-29
    Denver, CO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-07-18
S63 Uniform Securities Agent State Law Examination 1987-01-26
  • S66 Uniform Combined State Law Examination
    2002-07-18
  • S63 Uniform Securities Agent State Law Examination
    1987-01-26

View on SEC IAPD

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