Individual Firm
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JOHN GORDON SLIGH
CRD#: 2825659
IA
B
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 2470 Daniels Bridge Road
Bldg 100 Ste 151
Athens, GA 30606
Bldg 100 Ste 151
Athens, GA 30606
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9/21/2011
Customer Dispute
Settled
12/27/2010
Customer Dispute
Settled
12/3/2009
Customer Dispute
Settled
11/6/2009
Customer Dispute
Settled
10/29/2009
Customer Dispute
Settled
State Registrations
B
Alabama 2/13/2013
B
Maryland 2/13/2013
B
California 1/16/2020
B
Mississippi 2/18/2022
B
Colorado 2/24/2023
B
New Mexico 2/13/2013
B
District of Columbia 12/17/2024
B
North Carolina 8/3/2017
B
Florida 2/13/2013
B
Pennsylvania 3/6/2024
B
Georgia 2/13/2013
B
Rhode Island 7/7/2021
IA
Georgia 2/13/2013
B
South Carolina 2/13/2013
B
Illinois 12/21/2022
B
Tennessee 10/30/2013
B
Kentucky 2/13/2013
B
Texas 5/1/2019
B
Louisiana 12/7/2016
IA
Texas 2/10/2021
B
Maine 8/3/2020
B
Virginia 1/5/2023
SRO Registrations
B
B
B
B
B
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IA
Registered with this firm since 2/13/2013
B
Registered with this firm since 2/13/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/27/2003 - 02/13/2013 | ATHENS, GA | |
B | 01/28/1997 - 02/13/2013 | ATHENS, GA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.