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Current Employers
Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2012-08-15
NM RA APPROVED 2010-04-09
  • TX RA
    APPROVED_RES
    Since 2012-08-15
  • NM RA
    APPROVED
    Since 2010-04-09

Branch Locations

8206 Louisiana Blvd Ne Suite A, Albuquerque, NM 87113 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James Financial Services, Inc. Albuquerque NM 02/2010 Present
Raymond James Financial Services Advisors, Inc Albuquerque NM 02/2010 Present
Yyb Llc Albuquerque NM 01/2019 Present
Previous Registrations
  • 2009-06-01 → 2010-03-04
    Irvine, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Irvine, CA
  • 1993-04-26 → 2007-04-02
    Morgan Stanley Dw Inc.
    Irvine, CA
    Irvine, CA
Other Businesses

1) Name of Business : YYB LLC Address: 8206 Louisiana Blvd NE Ste A,Albuquerque, NM Nature of the Business: Support Company/DBA (Owner) Position/Title: Support Company/DBA (Owner) Investment Related:Yes Start Date: 01/01/2019 Hours per month devoted to this business: 0 Hours per month devoted to this business during trading hours: 0 Description of duties: financial services firm

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1987-12-18
  • S63 Uniform Securities Agent State Law Examination
    1987-12-18

View on SEC IAPD

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