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KATHLENE L CRISP
KATHLENE LOUISE CRISP, KATHLENE LOUISE ELLIS, KATHY L ELLIS
CRD#: 2942590
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 159 CROCKER PARK BLVD.
SUITE 390
WESTLAKE, OH 44145
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2008 - 2022 (13 years)2 FIRMS2022 - Present (2 years)BWACHOVIA SECURITIES, LLC (CRD# 19616)1999 - 2008 (9 years)IAWACHOVIA SECURITIES, LLC (CRD# 19616)2003 - 2008 (5 years)
Disclosure(s)
View By:
8/31/2017
Financial
Final
License(s)

State Registrations

B
Colorado 2/23/2023

B
Ohio 8/18/2022

B
Florida 1/11/2023

IA
Ohio 8/18/2022

IA
Florida 4/17/2023

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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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)
159 CROCKER PARK BLVD. SUITE 390, WESTLAKE, OH 44145
Englewood, FL
Registered with this firm since 8/18/2022

B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
159 CROCKER PARK BLVD. SUITE 390, WESTLAKE, OH 44145
Englewood, FL
Registered with this firm since 8/18/2022

Previous Registration(s)
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12/18/2008 - 08/19/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WESTLAKE, OH
B
12/16/2008 - 08/19/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WESTLAKE, OH
IA
06/23/2003 - 12/11/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) WESTLAKE, OH
B
12/15/1999 - 12/11/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) WESTLAKE, OH
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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.