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Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Little Elm, TX
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | Bd affiliated wealth | Feb 4, 2022 | n/a | yes | Little Elm, TX | Current employment |
| HORNOR, TOWNSEND & KENT, LLC | Independent wealth | Nov 24, 2010 | Jan 19, 2022 | no | Conshohocken, PA|ADDISON, TX | Previous registration |
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | No RAUM reported | Oct 9, 2009 | Mar 29, 2010 | no | DALLAS, TX | Previous registration |
| 1ST GLOBAL ADVISORS INC | Former SEC adviser | Jan 17, 2008 | Mar 19, 2009 | no | DALLAS, TX | Previous registration |
| BANC OF AMERICA INVESTMENT SERVICES, INC. | n/a | Jan 22, 2007 | Dec 19, 2007 | no | HOUSTON, TX | Previous registration |
| AMERICAN GENERAL SECURITIES INCORPORATED | n/a | Mar 17, 2006 | Jan 31, 2007 | no | HOUSTON, TX|HOUSTON, TX | Previous registration |
| NEXT FINANCIAL GROUP, INC. | Former SEC adviser | Sep 13, 2004 | Dec 31, 2004 | no | HOUSTON, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| HORNOR, TOWNSEND & KENT, LLC | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | Jan 19, 2022 | Feb 4, 2022 | 16 | Firm change | Ibd to ibd |
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | HORNOR, TOWNSEND & KENT, LLC | Mar 29, 2010 | Nov 24, 2010 | 240 | Firm change | Other |
| 1ST GLOBAL ADVISORS INC | NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | Mar 19, 2009 | Oct 9, 2009 | 204 | Firm change | Other |
| BANC OF AMERICA INVESTMENT SERVICES, INC. | 1ST GLOBAL ADVISORS INC | Dec 19, 2007 | Jan 17, 2008 | 29 | Firm change | Other |
| AMERICAN GENERAL SECURITIES INCORPORATED | BANC OF AMERICA INVESTMENT SERVICES, INC. | Jan 31, 2007 | Jan 22, 2007 | -9 | Firm change | Other |
| NEXT FINANCIAL GROUP, INC. | AMERICAN GENERAL SECURITIES INCORPORATED | Dec 31, 2004 | Mar 17, 2006 | 441 | Firm change after gap | Other |