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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2006-03-02
  • SC RA
    APPROVED
    Since 2006-03-02

Branch Locations

28 Bridgeside Blvd. Suite 203, Mt. Pleasant, SC 29464 • 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 & Associates, Inc. Charleston SC 01/2006 Present
Previous Registrations
  • 1994-01-06 → 2006-02-07
    Legg Mason Wood Walker, Incorporated
    Charleston, SC
Other Businesses

(1)Name of Business: Sandi Lou Llc Address: 613 East Artic Ave, Folly Beach, SC, 29412, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 01/01/1991 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: I own the Beach House and take care of it

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-06-01
S63 Uniform Securities Agent State Law Examination 1987-01-29
  • S65 Uniform Investment Adviser Law Examination
    1992-06-01
  • S63 Uniform Securities Agent State Law Examination
    1987-01-29

View on SEC IAPD

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