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Detailed Report
DRUANN CARTER
DRUANN SMITH
CRD#: 2811922
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 411 SE Osceola
Stuart, FL 34994
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2009 - 2011 (1 year)2 FIRMS2011 - Present (13 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)2006 - 2009 (3 years)BLEGG MASON WOOD WALKER, INCORP... (CRD# 6555)2001 - 2005 (4 years)BUBS PAINEWEBBER INC. (CRD# 8174)2000 - 2001 (<1 year)BLEGG MASON WOOD WALKER, INCORP... (CRD# 6555)2000 - 2000 (<1 year)IABANC OF AMERICA INVESTMENT SER... (CRD# 16361)2008 - 2009 (1 year)
License(s)

State Registrations

B
Florida 8/18/2011
IA
Florida 8/19/2011

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)
411 SE Osceola, Stuart, FL 34994
Registered with this firm since 8/19/2011
B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
411 SE Osceola, Stuart, FL 34994
Registered with this firm since 8/18/2011
Previous Registration(s)
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IA
 10/23/2009 - 08/08/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WEST PALM BEACH, FL
B
 10/23/2009 - 08/08/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WEST PALM BEACH, FL
IA
 05/23/2008 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) STUART, FL
B
 01/03/2006 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) STUART, FL
B
 03/13/2001 - 11/15/2005 LEGG MASON WOOD WALKER, INCORPORATED (CRD#:6555) BALTIMORE, MD
B
 05/30/2000 - 03/22/2001 UBS PAINEWEBBER INC. (CRD#:8174) WEEHAWKEN, NJ
B
 03/22/2000 - 05/23/2000 LEGG MASON WOOD WALKER, INCORPORATED (CRD#:6555) BALTIMORE, MD
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.