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Current Employers
Raymond James & Associates, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2005-07-14
IN RA APPROVED 2005-04-07
  • TX RA
    APPROVED
    Since 2005-07-14
  • IN RA
    APPROVED
    Since 2005-04-07

Branch Locations

421 North Pennsylvania Street Suite 201, Indianapolis, IN 46204 • 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. Indianapolis IN 03/2005 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-04-26
S63 Uniform Securities Agent State Law Examination 1987-07-14
  • S65 Uniform Investment Adviser Law Examination
    1996-04-26
  • S63 Uniform Securities Agent State Law Examination
    1987-07-14

View on SEC IAPD

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