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Detailed Report
DARLENE CAROL MCGREGOR
Darlene C McGregor, DARLENE CAROL PICARD, DARLENE CAROL STURM
CRD#: 1237169
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 20800 Swenson Drive
Suite 325
Waukesha, WI 53186
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS1998 - 2015 (17 years)2 FIRMS2015 - 2019 (4 years)2 FIRMS2019 - Present (5 years)BDAIN RAUSCHER INCORPORATED (CRD# 7600)1996 - 1998 (1 year)
License(s)

State Registrations

B
Wisconsin 8/14/2019
IA
Wisconsin 8/14/2019

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
20800 Swenson Drive Suite 325, Waukesha, WI 53186
Registered with this firm since 8/14/2019
B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
20800 Swenson Drive Suite 325, Waukesha, WI 53186
Registered with this firm since 8/14/2019
Previous Registration(s)
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IA
 04/17/2015 - 07/18/2019 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) MILWAUKEE, WI
B
 04/17/2015 - 07/18/2019 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) MILWAUKEE, WI
IA
 04/15/1998 - 05/11/2015 RBC CAPITAL MARKETS, LLC (CRD#:31194) MILWAUKEE, WI
B
 03/02/1998 - 05/11/2015 RBC CAPITAL MARKETS, LLC (CRD#:31194) MILWAUKEE, WI
B
 05/30/1996 - 03/02/1998 DAIN RAUSCHER INCORPORATED (CRD#:7600)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.