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DAVID ANDERSON ALFORD
CRD#: 1711320
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 6303 Cowboys Way
Suite 425
Frisco, TX 75034
Registration History
199019952000200520102015202020252 FIRMS1993 - 2008 (15 years)2 FIRMS2008 - 2012 (3 years)2 FIRMS2012 - 2020 (8 years)2 FIRMS2020 - Present (4 years)BLEHMAN BROTHERS INC. (CRD# 7506)1990 - 1993 (2 years)BCARTY & COMPANY, INC. (CRD# 7001)1987 - 1988 (1 year)
Disclosure(s)
View By:
6/7/2019
Customer Dispute
Denied
1/27/2003
Customer Dispute
Denied
10/29/2002
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 5/19/2020

B
New Jersey 1/21/2025

B
Arizona 10/31/2022

B
New York 5/19/2020

B
Arkansas 5/19/2020

B
North Carolina 5/21/2020

B
California 5/19/2020

B
North Dakota 10/31/2022

B
Colorado 11/3/2020

B
Oklahoma 10/27/2022

B
Florida 5/19/2020

B
South Carolina 10/27/2022

B
Georgia 10/27/2022

B
South Dakota 10/25/2022

B
Illinois 11/4/2022

B
Tennessee 5/27/2020

B
Louisiana 5/19/2020

IA
Texas 5/15/2020

B
Maryland 9/2/2020

B
Texas 5/19/2020

B
Missouri 6/12/2020

B
Virginia 10/31/2022

B
Montana 6/26/2024

B
Wisconsin 6/26/2020

B
Nevada 11/18/2022

SRO Registrations

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
6303 Cowboys Way Suite 425, Frisco, TX 75034
Registered with this firm since 5/15/2020

B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
6303 Cowboys Way Suite 425, Frisco, TX 75034
Registered with this firm since 5/15/2020

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
02/16/2012 - 05/18/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) FRISCO, TX
B
02/16/2012 - 05/18/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) FRISCO, TX
IA
06/25/2008 - 03/16/2012 UBS FINANCIAL SERVICES INC. (CRD#:8174) ADDISON, TX
B
06/25/2008 - 03/16/2012 UBS FINANCIAL SERVICES INC. (CRD#:8174) ADDISON, TX
IA
07/31/1993 - 07/07/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) DALLAS, TX
B
07/31/1993 - 07/07/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) DALLAS, TX
B
08/14/1990 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
07/22/1987 - 10/25/1988 CARTY & COMPANY, INC. (CRD#:7001)
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B
Broker
IA
Investment Adviser
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.