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880 Carillon Parkway, St. Petersburg, FL 33716 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-10-19 |
| NC | RA | APPROVED | 2016-09-06 |
Branch Locations
100 North Main Street Suite 2400, Winston-Salem, NC 27101 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Deutsche Bank Securities Inc. | New York | NY | 01/2001 | 09/2016 |
| Raymond James & Associates, Inc. | Winston-Salem | NC | 09/2016 | Present |
1) Name of Business: Advisory Board, College of Business, Appalachian State University Address: Boone, NC Activity Type: Board Member, Board Subcommittee Member, Officer, or Director Position/Title: Other, Advisory Board Investment Related: No Start Date: 11/01/2016 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Attend Meetings and make suggestions for the College of Business
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1993-05-05 |
| S63 | Uniform Securities Agent State Law Examination | 1987-12-09 |
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