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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 2022-01-11
IL RA APPROVED 2021-02-26
  • TX RA
    APPROVED_RES
    Since 2022-01-11
  • IL RA
    APPROVED
    Since 2021-02-26

Branch Locations

11700 South Il Route 47, Huntley, IL 60142 • 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
Wells Fargo Advisors Llc Milwaukee WI 03/2014 11/2016
Wells Fargo Clearing Services, Llc Milwaukee WI 11/2016 06/2019
Raymond James Financial Services, Inc. Dekalb IL 02/2021 Present
Raymond James Financial Services Advisors, Inc. Dekalb IL 02/2021 Present
First National Bank Of Omaha Dekalb IL 07/2019 Present
Fnbo Lake In The Hills IL 04/2021 Present
Previous Registrations
  • 2014-03-20 → 2019-07-08
    Milwaukee, WI
    Janesville, WI
    Waukesha, WI
  • 2012-06-07 → 2014-04-17
    Cedar Creek Securities, Inc.
    Milwaukee, WI
  • 2008-09-03 → 2012-02-17
    M&I Investment Management Corp.
    Milwaukee, WI
  • 2003-06-23 → 2004-09-23
    J.P. Morgan Asset Management
    Columbus, OH
Other Businesses

(1)Name of Business: First Investments and Planning Address: 4520 W. Algonquin Rd, Lake in the Hills, IL, 60156, United States Activity Type: Support Company - Non-Owner Position/Title: Associate/Employee Investment Related: No Start Date: 04/08/2021 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 41+ Description of duties: Financial Advisor.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2014-04-08
S65 Uniform Investment Adviser Law Examination 2003-06-09
  • S63 Uniform Securities Agent State Law Examination
    2014-04-08
  • S65 Uniform Investment Adviser Law Examination
    2003-06-09

View on SEC IAPD

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